A frequently used remedy in Commission enforcement actions is the officer and director bar. A permanent bar has the very harsh effect of precluding the person from being an officer or director of any public company. That, of course, can …
Tag: officer director bar
Fifth Circuit: SEC Action and Remedies Time Barred
The SEC frequently brings its enforcement actions years after the conduct occurred. In some instances this happens because the agency did not initiate its investigation until long after the events in question. In others it stems from the nature of …
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