Assessing Whether Jarkesy May Limit FINRA Prosecutions

By Barry Temkin and Kate DiGeronimo (August 30, 2024, 4:41 PM EDT) -- On June 27, the U.S. Supreme Court issued its landmark decision in Jarkesy v. U.S. Securities and Exchange Commission, which held that SEC administrative law judges may not adjudicate securities fraud cases seeking civil penalties.[1] Rather, respondents in fraud prosecutions are now entitled to a trial by jury under the Seventh Amendment of the U.S. Constitution.[2]...

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