Jeff Plotkin Presented a Webinar on the Supreme Court's Jarkesy Decision and its Implications

On July 31, 2024, litigation partner Jeffrey Plotkin, a former SEC Enforcement official, presented a webinar on the Supreme Court’s Jarkesy decision and the broader consequences of the ruling, which rejected as unconstitutional the SEC’s congressionally-granted power to seek civil monetary penalties for antifraud violations in SEC in-house administrative proceedings. The webinar, sponsored by Advisors 4 Advisors, focused on the practical implications of the ruling on RIAs and IARs, as well as BDs and RRs.

Jeffrey also addressed the following:

• How the role of administrative law proceedings has grown in securities law enforcement 
• The key Federal statutes that enabled the SEC to utilize administrative law proceedings in enforcement
• The practical consequences of the Jarkesy decision on RIAs and IARs being examined, investigated, or disciplined by the SEC
• Additional SEC administrative powers that may be on the chopping block in future Supreme Court cases
• And how the Supreme Court’s reasoning potentially affects the administrative powers of state securities regulators

Targeted to financial advisors, CFPs, EAs, CFA, CPAs financial planners, CPA/PFSs, CIMAs, CLUs and ChFCs, the webinar was eligible for 1 hour of CPE credit in the economics field of study.