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Cady Bar the Door Insight & Commentary on SEC Enforcement Actions and Related Issues

Monthly Archives: November 2011

Consolidated Audit Trail Will Revolutionize Insider Trading Enforcement

Posted in Insider Trading

Bluesheeting, for those who haven’t experienced it, is the archaic and cumbersome process by which SEC and FINRA staff collect equity stock trading information for particular issuers.  I’m not sure what word best describes the process.  It’s not exhausting, really, but it’s not a thrill ride, either.  As far as law enforcement goes, it’s much… Continue Reading

SEC (Smartly) Focuses on Transfer Agents

Posted in Microcap Fraud, Non-scienter-based Violations

Enforcement investigations into microcap, or penny, stocks are difficult and often thankless.  They frequently involve unsavory characters who could as easily be running a real estate scam or Nigerian advance fee fraud as one involving securities.  Proving intent to defraud in cases like this is often very tough, as the players shield their activities behind… Continue Reading

Hey, look! It’s a blog!

Posted in Uncategorized

What this world needs is a blog, and I plan to give it one here.  I hope to write about federal securities law enforcement and related issues in an engaging and (with any luck) somewhat entertaining way.  Please check in and let me know if there are topics you would like to see explored in this… Continue Reading