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The Ninth Circuit Decision in United States v. Stringer

By Ralph Ferrara and Leigh Chapman
September 29, 2009

The federal securities laws authorize the Securities and Exchange Commission (SEC) to provide the Department of Justice (DOJ) with evidence of violations of the securities laws (See 15 U.S.C.S. ” 77t(b), 788(d) (2009)). Because the SEC often shares ' although as we shall see not always openly ' information with the DOJ and the agencies frequently institute parallel enforcement actions, counsel must be vigilant to avoid the potential pitfalls such parallel proceedings may have for their clients.

United States v Stringer

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