Tag: recidivist

From the earliest days of the Commission, the remedies available to the agency were a question. Initially, those remedies were only an injunction. There was no disgorgement; no penalties; no officer and director bars; no penny stock bars. Over the …

SEC Charges Recidivist with Violation of its 2019 Order Read More »

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While the partial government shutdown continued the courts were able to remain open, although their websites were not updated. Agencies such as the SEC reduced their staff to a comparative handful. Nevertheless, during the period the Commission was able to …

SEC Prevails on Summary Judgment Against Recidivist Read More »

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