Tag: ethics

The Madoff and Stanford debacles seems to never fade away for the Commission. Madoff of course is in prison but the litigation goes on. The failures of the Commission and others such as FINRA continue to linger. The Stanford case …

THE GHOST OF SCANDALS PAST CONTINUES TO HAUNT THE SEC Read More »

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Defending a company or an individual in an SEC investigation is, like representing a client in court, more often than not about credibility. The approach and tactics must be credible. Counsel and the client must be credible. Good, well prepared …

CREDIBILITY AND DEFENDING SEC INVESTIGATIONS Read More »

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