Posts tagged Inspector General for the Securities Exchange Commission.
In a January 21, 2016 Report of Investigation, the Inspector General for the Securities Exchange Commission found no evidence to substantiate allegations of pro-agency bias among SEC administrative law judges. The allegations of bias by a retired SEC ALJ appeared in a May 2015 Wall St. Journal article; the article's statistical analysis also revealed the SEC won 90% of contested cases brought in its "home court" administrative forum. The SEC's administrative forum has been under fire ever since Dodd-Frank expanded its jurisdiction to include non-registered persons. Then ...
Posted in: SEC
Tags: ALJ, burr forman, dodd-frank, Inspector General for the Securities Exchange Commission, John Buono, Laurie Bebo, pro-agency bias, SEC, Securities Exchange Commission, securities litigation, Securities Litigation & Arbitration