Tag: filing violations

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 »

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Broken windows entered a new chapter. Previously, the program focused on the custody rule, Rule 105 and the filing of certain forms such as Form 4 and Schedule 13D. The point is to create SEC omnipresence – the cop on …

The SEC’s Broken Windows Program – A Success? Read More »

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