Securities Law Administrative Challenges

Summary

Navigating securities law issues, especially involving SEC regulations and administrative hearings, can be complex. An unlicensed employee not under SEC or FINRA regulation may face challenges in admitting or denying allegations. Self-regulated agencies under the DOJ may have administrative power even after civil adjudication. Discrediting arguments in administrative hearings requires understanding the interplay between criminal and civil proceedings. Responding to the SEC under the Securities Exchange Act of 1940 involves specific procedures, especially if previously adjudicated in federal court. If the SEC seeks to bar you from the securities industry, despite a prior ruling, consulting a securities law expert is advisable. They can provide tailored advice and help navigate the complexities of attending administrative hearings, even as an inmate.

Full Conversation

*. How is an unlicensed and unregistered administrative employee "admit or deny" allegations, which he/she was NOT under SEC or FINRA regulation? *. Can a self regulated agency under the DOJ have administrative power, once the same litigant was adjudicated in the civil case in a Article III court with an appointed federal judge? *. How to discredit the argument of the criminal case in a "Administrative Hearing" due to the fact that the Criminal Proceeding and Civil Proceeding were previously adjudicated and closed? *. What is the proper format to answer a "no admit or deny " response to the SEC under *(b) of the Securities Exchange Act of *, when the respondent has already been adjudicated in federal Civil Court? *. The response by the SEC seems to want to bar me from the securities industry. This was already declared and ruled on by the Southern District of New York, this is a redundancy and how does an inmate go to the "Administrative Hearing"?
Hey ****! These are quite complex legal questions. To provide you with the best assistance, I'd suggest considering consulting with a lawyer who specializes in securities law and administrative procedures. They can offer more tailored advice. Would you like me to connect you with local lawyers who can assist with your case?