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

Tag Archives: M.D. Fla.

SEC Going after Lawyers

Posted in Microcap Fraud

Over the last year, SEC Enforcement Director Rob Khuzami has made no secret of his disdain for defense counsel who engage in “questionable tactics” to gain advantage for their clients involved in SEC investigations.  He made a speech last June in which he cited a number of examples of those tactics.  They included: Multiple representations of… Continue Reading