SEC’s Division of Examinations Releases 2022 Exam Priorities – Dispute Resolution Again Not on the List
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By George H. Friedman, SAA Publisher & Editor-in-Chief

The SEC’s Division of Examinations (“DOE”) has issued its exam priorities for 2022. Once again,

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SEC’s Gensler Again Grilled on Mandatory Arbitration
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By George H. Friedman, SAA Publisher & Editor-in-Chief

For the second time in the past few months, SEC Chair Gensler was asked to articulate his views on mandatory securities arbitration,

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Liu v. SEC
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By Burton W. Wiand

Disgorgement, as an SEC enforcement remedy, is permissible, given that courts observe restrictions that might otherwise make the disgorgement order a “penalty.”

Liu vs.

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Alderson v. deVere USA, Inc.
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By Christopher G. Lazarini

Defendant faces potential sanctions for its repeated delays in paying attorneys’ fees awarded Plaintiff in arbitration.

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State v. Lindell
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By Ben Suter

The Court finds that the trial court did not err when it admitted contested evidence, nor did it err when it declined to provide certain jury instructions.

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Massachusetts Adopts Fiduciary Regulation
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By Christine Lazaro, Professor of Law & Clinic Director
St. Johns Law School

This analysis was prepared by SAA Advisory Board Member Prof.

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