Month: January 2015

The SEC was granted authority in the Dodd-Frank Act to initiate administrative proceedings against non-regulated persons. In those proceedings the full range of remedies are available – a cease-and-desist order, disgorgement, penalties and bar orders. Those remedies are comparable to …

SEC Use of Administrative Proceedings Challenged Again Read More »

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Through the holidays (Dec. 19 – 31, 2014) the Department of Justice and the SEC continued to file securities enforcement actions. The Department brought an FCPA case which is now number two on the top ten list for amounts paid …

This Week In Securities Litigation (Holiday wrap-up edition) Read More »

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