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
Tag Archives: S.D. Fla.
Want to Avoid an Injunction Sought by the SEC?
Posted in Insider Trading, SEC LitigationWhen the SEC brings a case against a defendant in federal court, it almost always seeks a curious remedy – an injunction not to violate the statute it is accusing the defendant of violating. Now, the law already requires what the proposed injunction would say. If Section 10(b) of the Exchange Act says you’re not… Continue Reading