For the second time in less than six months, the SEC has filed a rare Regulation FD case. On Tuesday, the agency filed a case against Presstek, Inc. and its former CEO, Edward J. Marino. Is this a new area of emphasis for the SEC? It is probably too early to tell, but it is worth keeping an eye on. It is also interesting to note the SEC’s very different treatment of the companies involved in these two cases based on the company’s response to the alleged violations. Full details are available in this post on my Enforcement Action blog over at Compliance Week.
‘Enforcement 40’ for 2020
Join Us On LinkedIn
Join the Securities Litigation and Enforcement Group on LinkedIn