InsideCounsel: "Is the SEC being fair?"

Articles / Publications

In an article published on July 23, 2015, Thomas Potter provides insights on recent attention the Securities Exchange Commission (SEC) has received from critics who question the level of fairness to businesses. The concern arises from an increase in civil penalties and increasingly slim chances for defendants to win cases before SEC administrative law judges. Still, Potter said "mega-settlements against firms are decreasing, with the SEC reaching the end of the financial crisis pipeline and agenda encouraging more self-reporting from companies." Despite the decrease in mega-settlements, Potter warned of ramifications from continued elevation of SEC scrutiny: "You can enforce and comply somebody out of business."

For the full article, please click here.

Related Professionals

Burr
Jump to Page
Arrow icon Top

Contact Us

We use cookies to improve your website experience, provide additional security, and remember you when you return to the website. This website does not respond to "Do Not Track" signals. By clicking "Accept," you agree to our use of cookies. To learn more about how we use cookies, please see our Privacy Policy.

Necessary Cookies

Necessary cookies enable core functionality such as security, network management, and accessibility. These cookies may only be disabled by changing your browser settings, but this may affect how the website functions.


Analytical Cookies

Analytical cookies help us improve our website by collecting and reporting information on its usage. We access and process information from these cookies at an aggregate level.