BREAKING STORY:
Supreme Court Reverses SEC V. Gabelli On Discovery Rule Grounds
In Gabelli et al. v. Securities And Exchange Commission (568 U. S. ____ (2013), February 27, 2013), the Court considered an enforcement action brought by the Securities And Exchange Commission ("SEC") under the Investment Adviser Act in April 2008, when the SEC filed a Complaint seeking civil penalties. THIS STORY INCLUDES FULL-TEXT LINKS TO OPINIONS AND ORAL ARGUMENT BEFORE THE US SUPREME COURT (BOTH TRANSCRIPT AND AUDIO) [...]
Broker Dealer President And Chief Compliance Officer Sued By Firm
In a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in September 2011, and amended thereafter, Claimant Newport Coast Securities alleged that Respondent Scott had failed to properly perform her duties; engaged in conduct infractions; and violated policies and procedures during her [...]