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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Kilgour v. SEC
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By Samuel B. Edwards

Court confirms SEC denial of whistleblower award to two parties based on the SEC’s interpretation of providing “original” information that contributed to the successful prosecution of an action,

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