福里尔·拉德纳律师事务所律师卡桑德拉·奥伯特在彭博法律文章《最高法院关注案件,SEC追缴非法利润权力面临风险》中,就美国证券交易委员会(SEC)追缴非法利润权力的日益受到审查发表了评论。
随着第九巡回上诉法院在昂卡鲁克·斯里佩奇诉美国证券交易委员会案中作出裁决,加剧了各巡回法院对何种行为构成追缴对象的分歧,且该案上诉至美国最高法院的程序正在进行中,证券执法行动中追缴行为的适用标准或将很快得到明确。
奥伯特表示:“客观审视美国证券交易委员会近年来在最高法院和上诉法院的记录,可以发现该机构在上诉中的论点大多未获采纳。”
奥伯特与合伙人詹姆斯·伦迪在福里律师事务所的最新博客中撰写了更详尽的案件概述,详见此处。
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