The Supreme Court and Jarkesy: A New Order?
The Supreme Court will hear argument on November 29, 2023 in a case that has the potential to fundamentally alter the manner in which the Securities and Exchange Commission resolves its enforcement actions. Specifically, the decision in SEC v. Jarkesy, …
The Supreme Court and Jarkesy: A New Order?
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Raymond J. Lucia, owner of a Commission registered investment adviser, concluded an administrative proceeding that charged him with various violations of the Advisers Act in September 2012. In the Matter of Raymond J. Lucia Companies, Inc., Adm. Proc. File No. …
What Would Have Happened? The Long Trek of Raymond Lucia Read More »