Jessie Gabriel Comments on Drop in SEC Administrative Proceedings

News / July 5, 2017

Partner Jessie Gabriel is quoted in an article published July 5, 2017, by Compliance Reporter. The article, “SEC Faces Supreme Court on Administrative Proceedings,” discusses a decline in the number of proceedings the Securities and Exchange Commission (SEC) is bringing before its administrative law judges (ALJs) as the controversial practice now appears set to be considered by the U.S. Supreme Court.

Gabriel told the publication, “It does seem like, speaking generally, there’s been a bit of a shift in attitude. The ALJs are aware of the controversy and the general accusation that the proceedings themselves are set up unfairly.”

Read the article (registration required).


In The Blogs

Previous Next
Financial Services Blog
SEC Continues to Expand Examinations Focused on Crypto-Assets
By Jessie M. Gabriel
August 27, 2018
Jay Clayton, chairman of the Securities and Exchange Commission (SEC or Commission), made clear back in December 2017 that his Commission was concerned with the proliferation of crypto-assets. The SEC defines crypto-assets as...
Class Action Lawsuit Defense
Sixth Circuit Upholds Class Certification of FDCPA Claims Despite Spokeo Challenge
By Erika Dackin Prouty
August 22, 2018
Last month, the Sixth Circuit in Macy et al v. GC Services Ltd Partnership unanimously upheld certification of a class under the Fair Debt Collection Practices Act (FDCPA), despite arguments that the named plaintiffs failed to establish...
Class Action Lawsuit Defense
BakerHostetler Insurance Class Action Quarterly Update, August 2018
August 14, 2018
This quarter has seen a few new types of class actions against insurers as well as aging of some more mature theories wending their way through the courts. BakerHostetler’s Class Action Defense – Insurance team has published a report with...
Financial Services Blog
OCC Announces It Will Begin Accepting Fintech Charter Applications
By Melonia A. Bennett
August 1, 2018
On July 31, 2018, the Office of the Comptroller of the Currency (OCC) announced that it will begin accepting applications for special purpose national bank charters from financial technology companies. This “fintech charter” is limited to...
Financial Services Blog
Third Circuit Upholds Foreclosure Sale Against Preference Attack
July 23, 2018
On July 19, the Third Circuit Court of Appeals entered a decision upholding the results of a foreclosure sale against a debtor’s allegation that the sale was a preference because the bankruptcy estate could have sold the property for a...