Tag: SEC

It’s Only A Fine

One would expect fines In civil and criminal enforcement actions to bear some relationship to both the offensive conduct and the statute that authroizes the...

The SEC, Judicial Skepticism and Salinas

  Here’s my handout on these topics: FINRA CLE SuperCourse – September 2013   Speaking on Friday in New York: Network of Trial Law Firms...

SEC Game-Time Program

Can’t tell the players without a program.   This is a handy graphic guide (via @WSJ) to the persons, entities, events and outcomes in SEC enforcement...