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."

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