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

Tag Archives: Amelia Cottrell

SDNY Explores Officer-and-Director Bar Factors

Posted in Insider Trading, SEC Litigation

In its enforcement actions, the SEC almost always seeks injunctions that prohibit the defendants from violating specific securities laws.  Their value lies in the threat of contempt for violation of the order (a largely illusory threat) and collateral consequences for various aspects of the defendant’s business (can be quite serious).  For defendants who are not… Continue Reading