Jessica Notebaert

Jessica Notebaert

WilmerHale

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SEC Holds Kokesh Does Not Impact FINRA Industry Bar

On August 23, 2019, the Securities and Exchange Commission (SEC or Commission) held in In re John M.E. Saad that the US Supreme Court’s decision in Kokesh v. SEC had no impact on the Financial Industry Regulatory Authority’s...more

8/28/2019  /  Appeals , Disgorgement , Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Financial Services Industry , Kokesh v SEC , Public Interest , Sanctions , Securities and Exchange Commission (SEC) , Statute of Limitations
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