Securities
Jun. 9, 2011
Judge Slaps Down Dodd-Frank Charges
A San Francisco federal judge on Monday slapped down prosecutors seeking to apply the Dodd-Frank Wall Street Reform and Consumer Protection Act retroactively when he dismissed a few securities claims against two financial executives.
Daily Journal Staff Writer
A San Francisco federal judge on Monday slapped down enforcement attorneys seeking to retroactively apply the Dodd-Frank Wall Street Reform and Consumer Protection Act when he dismissed a couple of Securities and Exchange Commission claims against former financial executives.
U.S. District Judge William Alsup determined that although Dodd-Frank now allows aiding-and-abetting claims under the Investme...
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