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Join the Securities Litigation and Enforcement Group on LinkedInExecutive Beware: The SEC Now Wants To Police Unethical Corporate Conduct — Forbes
Big violations are easy to define and the bad actors most always know they are engaging in wrongdoing, but what constitutes a small violation worthy of the costs and ramifications of a federal civil prosecution? Where will the SEC draw that blurry line between conduct that is unlawful versus merely unethical? Or, in the eyes […]
Victorious Mark Cuban Says His Case Shows Problem With SEC’s ‘Broken Windows’ Strategy – Compliance Week
Following yesterday’s verdict in his favor, Mark Cuban said the SEC needs to “think things through” when it comes to its newly-announced “Broken Windows” strategy. Cuban said his case helps show that there are often no bright lines for the public to follow when it comes to the securities laws. via Victorious Mark Cuban Says […]