43674 research outputs found
Sort by
KOURTNI HASKELL, Plaintiff/ Appellant, vs. WAKEFIELD & ASSOCAITES, INC. , and MATTHEW FRAWLEY, an individual, Defendants/ Appellees
No full textAppeal from the Third Judicial District Court, Salt Lake County, State of Utah The Honorable Judge Andrew Stone
Attorneys for Appellees, Mark A. Nickel, David Gamer, GORDON REES SCULLY MANSHUKANI, LLP
Attorneys for Appellant, Daniel Baczynski, BACZYNSKI LAW, PLLC
All the Tenacity of Original Sin: Agencies and Courts Continue to Place the Burden of Persuasion on Defendants in Violation of the APA and Supreme Court Precedent
Get PDFState Securities Enforcement
Get PDFEach year, state securities regulators bring over twice the enforcement actions brought by the Securities and Exchange Commission, yet their work is largely missing from the literature. This Article provides an institutional account of state securities enforcement and identifies two key advantages — detection granularity and institutional decentralization — that states enjoy over their federal counterparts in policing localized frauds involving individual, often small-dollar, victims. Although states share enforcement jurisdiction with the SEC and DOJ, their enforcement activity reflects their institutional advantages and constraints and thus largely does not overlap with that of federal authorities. Instead, states serve as the nation s residual securities enforcers, policing local misconduct that federal authorities or private plaintiffs largely do not. The states\u27 work as residual securities enforcers should thus guide state and federal authorities as they cooperate and complement each other\u27s enforcement missions. And given the need for local investor protection, proposals around national securities policy should bolster that work or, at the least, mitigate negative impacts on it
Clark Memorandum: Spring 2021
Get PDFRooting Out Racism How Do We Practice Our Religion While We Practice? Hope in Hardship The Unity Paradox Read on Issuuhttps://digitalcommons.law.byu.edu/clarkmemorandum/1068/thumbnail.jp
