- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Yesterday, the SEC issued an unusual order In the Matter of Timbervest LLC et al., an administrative proceeding currently before the agency. The Commission invited the ALJ in the case to file an affidavit addressing the existence of any pressure to rule in favor of the Division of Enforcement in ...
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The perpetually maligned use of administrative law judges at the SEC faces big changes after the Supreme Court, led by Justice Elena Kagan, agreed with constitutional challenges.
The SEC has fought off challenges to its in-house judges before, but new complaints that the Commission’s proceedings are unconstitutional might just stick. Joe Mont reports.
Three former executives of Chicago-based Outcome Health, a healthcare technology company, were sentenced for misleading an auditor, clients, lenders, and investors about a scheme to sell $45 million in overbilled advertisements.
