“The SEC Should Copy the DMV” is the title of an article published in the New York Times by Joseph S. Fichera recently. The article focuses on the use of corporate fines, questioning whether they are effective: “The SEC and …
Year: 2014
This Week In Securities Litigation (Week ending November 7, 2014)
This week the SEC and the DOJ filed a settled FCPA action. The disgorgement paid by the issuer put the case at number ten on the list for the largest such amounts paid in an SEC FCPA case. The Commission …
This Week In Securities Litigation (Week ending November 7, 2014) Read More »
Tagged with: broken windows, FCPA, filing violations, Insider trading, manipulation, offering fraud, secactions