Year: 2014

Broken Windows is the enforcement strategy adopted by the SEC as part of its “prosecute every violation big and small” approach in an effort to create “omnipresence” – the feeling of a cop on every corner. It is supposed to …

The SEC Continues “Broken Windows” – Is It Effective Enforcement? Read More »

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Building on an undercover sting operation, the SEC filed an enforcement action against two individuals and their controlled entity. They are alleged to have conducted a business which helped shareholders conceal their ownership and avoid their filing obligations. As a …

SEC – USAO File Actions Based on Scheme To Conceal Ownership Read More »

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