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SEC Prosecuting Via ALJ Hearings

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August 5, 2014

Dear Friends,

As reported by the Wall Street Journal, the SEC is increasingly prosecuting wrongdoers in hearings before administrative law judges, rather than jury trials, where the SEC has recently lost a number of cases.

Please click here for the Wall Street Journal article written by Russell Ryan, a former assistant director of enforcement at the SEC. Please feel free to contact us with any questions at (212) 867-0200 or email us at info@counselworksllc.com.

Thank you,


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CounselWorks is a strategic business and regulatory consulting firm, that provides project-based consulting and manages compliance and regulatory programs for hedge funds, private equity firms, investment companies, broker-dealers and investment banks.
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