Year: 2016

How effective is the SEC enforcement program at deterrence? With the adoption of the “broken windows” theory of enforcement the agency adopted a theory of market policing borrowed from the New York City police department. It is built on the …

Effective SEC Enforcement – Built on Fundamental Fairness Read More »

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Just prior to the July 4th holiday a legend of the federal securities bar passed away. Irving Pollock, or Irv as he was known, was the father of the SEC’s Enforcement Division. A New Mexico jury handed the Commission a …

This Week In Securities Litigation (Week ending July 8, 2016) Read More »

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