Tag: penalty

In Gabelli v. SEC, 133 S.Ct. 1216 (2013) the Court cautioned against leaving “defendants exposed to Government enforcement action . . . for an additional uncertain period into the future” beyond the five year limitation period of §2462 of Title …

SEC Request For Declaratory Relief, Injunction Time Barred Read More »

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The Distict of Columbia Circuit Court of Appeals upheld the imposition of a penalty by the SEC which is over 100 times the amount of the disgorgement. The ruling was made in a case involving a registered representative charged with …

SEC Prevails On Question of Penalty Amount Read More »

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