Tag: remedies

Waivers from the automatic disqualifications of the “bad boy” provisions which can come into play following the resolution of a Commission enforcement action is a topic of increasing concern. Consider the recent decision regarding Oppenheimer for example. There the Commission …

SEC Commissioner Gallagher, The Bad Boy Provisions and Remedies Read More »

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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 …

SEC Request For O&D Bar Denied Read More »

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