Archive for FINRA

SUPREME COURT HOLDS THAT SEC DISGORGEMENT ORDERS ARE SUBJECT TO STATUTE OF LIMITATIONS

  • June 6th, 2017
  • Russell Weigel
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On June 5, 2017 the U.S. Supreme Court announced its unanimous opinion in Kokesh v. SEC holding that the five-year federal statute of limitations on government penalty and forfeiture claims applies to SEC claims for disgorgement. Our firm’s successful federal trial court and…

SUPREME COURT ACCEPTS CERT. IN TENTH CIRCUIT CASE CITING SEC V. GRAHAM AS BEING IN CONFLICT

  • January 16th, 2017
  • Russell Weigel
  • Comments Off on SUPREME COURT ACCEPTS CERT. IN TENTH CIRCUIT CASE CITING SEC V. GRAHAM AS BEING IN CONFLICT

On January 13, 2017 the U.S. Supreme Court granted a petition for certiorari in Kokesh v. SEC, an appeal from a Tenth Circuit case that rejected the Eleventh Circuit’s conclusion in SEC v. Graham that disgorgement orders are forfeitures subject…

INJUNCTIVE RELIEF NOT SO IMPORTANT TO SEC

  • January 15th, 2017
  • Russell Weigel
  • Comments Off on INJUNCTIVE RELIEF NOT SO IMPORTANT TO SEC

We are pleased to announce that following the remand of SEC v. Graham from the Eleventh Circuit Court of Appeals, the defense’s victory became complete with the SEC’s stipulation of dismissal of its claim for injunctive relief – the only…