Though there's a p erception that an administrative proceeding before an ALJ automatically gives the SEC a "home-court advantage," it's not always the case. "There's a perception by some that the administrative process is a slam dunk for the SEC, but that's not true," says [Thomas Gorman]. "It's not an automatic win for them."
Rules & Regulations SEC’s New Penalty Authority Under Dodd-Frank Commission gains new
Pages to are hidden for
"SEC's New Penalty Authority Under Dodd-Frank"Please download to view full document