Broken Windows – the SEC initiative cloned from the NYC Police Department which prosecutes every case large and small based on the a deterrence theory – is alive and well in the form of the Rule 105 Initiative. This week …
Broken Windows: SEC Files Six Settled Rule 105 Actions Read More »
The question of forum selection by the SEC was a key issue this week. While to date suits challenging the SEC’s right to bring an action as an administrative proceeding rather than in federal court have had little success – …
This Week In Securities Litigation (Week ending June 12, 2015) Read More »