Tag: filing violations

The SEC continued with its “broken windows” approach to enforcement this week, filing a group of 34 actions based on the failure to file either a Form 4, Schedule 13D or Schedule 13G. The agency also filed an action alleging …

This Week In Securities Litigation (Week ending September 12, 2014) Read More »

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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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