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Seventh Amendment Enforcement

A&O Shearman

FINRA Faces Post- Jarkesy Challenge to its Enforcement Program

A&O Shearman on

The Financial Industry Regulatory Authority (“FINRA”) is now facing a second litigation challenging the constitutionality of its use of disciplinary tribunals to impose sanctions on FINRA members. A broker filed a complaint...more

Holland & Knight LLP

SEC in Constitutional Danger Zone Following Several Recent Decisions

Holland & Knight LLP on

The constitutional spotlight is shining on the U.S. Securities and Exchange Commission (SEC). In the last several weeks, the U.S. Supreme Court agreed to hear a case seeking broader federal jurisdiction for constitutional...more

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