The recent designation of Mexican drug cartels and other criminal organizations as Foreign Terrorist Organizations (FTOs) exposes companies to criminal prosecution for providing material support under 18 U.S.C. 2339B.
This...more
3/27/2025
/ Compliance ,
Corporate Counsel ,
Criminal Prosecution ,
Department of Justice (DOJ) ,
Due Diligence ,
Enforcement Actions ,
Mexico ,
Popular ,
Risk Management ,
Trump Administration ,
Venezuela
In SEC v. Jarkesy, the Supreme Court held that the Seventh Amendment entitles a defendant to a jury trial when the SEC seeks civil penalties for securities fraud.
The decision limits the SEC’s authority to seek civil...more
The United States Court of Appeals for the Fifth Circuit issued a major decision on May 18, 2022 holding Securities and Exchange Commission (SEC or Commission) administrative adjudications unconstitutional on multiple...more
5/31/2022
/ Adjudicatory Process ,
Administrative Law Judge (ALJ) ,
Administrative Proceedings ,
Article II ,
Constitutional Challenges ,
Enforcement Actions ,
Right to a Jury ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Violations ,
Seventh Amendment
The U.S. Supreme Court recently held, in Lucia v. SEC,1 that Administrative Law Judges (ALJs) for the U.S. Securities and Exchange Commission (SEC or Commission) are officers of the United States who must be appointed...more
6/28/2018
/ Administrative Agencies ,
Administrative Law Judge (ALJ) ,
Administrative Proceedings ,
Appeals ,
Appointments Clause ,
Constitutional Challenges ,
Enforcement Actions ,
Final Written Decisions ,
Lucia v SEC ,
Officers of the United States ,
Remand ,
Reversal ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Special Trial Judges (STJs)