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The Ninth Circuit Decision in United States v. Stringer

The federal securities laws authorize the SEC to provide the DOJ with evidence of violations of the securities laws. Because the SEC often shares 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.

17 minute read September 29, 2009 at 09:08 AM
By
Ralph Ferrara and Leigh Chapman
The Ninth Circuit Decision in United States v. Stringer

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)).

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