Tag: remedies

Since the market crisis there has been a continuing outcry about holding senior corporate executives responsible. From Capitol Hill to citizens across the land there has been a continuous demand for some kind of Judge Roy Bean justice – hang …

Toward More Effective SEC and DOJ Remedies Read More »

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One key debate regarding current SEC enforcement policy centers on the application of the so-called “bad actor” provisions. Previously the Commissioners split over the nature, use and application of those provisions. Central to the debate is whether the application of …

The Disqualification Provisions and the SEC’s Use of Wavers Read More »

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