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

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Criminal Procedure in Game of Thrones

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Game of Thrones watchers know its quasi-Medieval Westeros as a remarkably harsh, unforgiving world.  There’s just not a lot of room for error.  In fact, if you’re a character and lose your head (figuratively), you just might lose your head (literally).  But one facet of Westeros is soft as butter: its criminal procedure. The last… Continue Reading

New Article Pushes the Revolving Door

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I’ve always been a little skeptical of general complaints about the “revolving door” between government service and employment in the private sector.  As applied to the SEC, the complaint goes that low-paid government workers go easy on the Wall Street firms they’re supposed to regulate.  In exchange, those firms lavish lucrative employment opportunities on those… Continue Reading

A Profile That’s Not about Nothing

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Do you know what Jerry Seinfeld has been doing for the last fifteen years, since his eponymous sitcom went off the air in 1998?  My daughters are big fans of Bee Movie, so I knew he starred in that and was sort of aware that he wrote or produced it several years ago.  And he’s… Continue Reading

Friday Weekly Roundup

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Taking it from the top: Last Friday, the SEC sued two twin brothers from the U.K. with creating and promoting a fake “stock picking robot” that purportedly identified penny stocks set to double in price. “Instead, the brothers were merely touting stocks they were being paid separately to promote,” the SEC said in a press release.  Clusterstock… Continue Reading

Hey, look! It’s a blog!

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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