Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Friday, December 26, 2014

SEC Actions & Administrative Proceedings

Going Public LawyerMost public companies realize that the Securities and Exchange Commission (the “SEC”) is a law enforcement agency.  SEC Actions can involve a case in federal court or an administrative action. Any SEC action should be taken seriously. SEC actions can result in penalties, fines and injunctions and lead to referrals to criminal agencies. The SEC’s Enforcement Division functions as the enforcement arm of... Read MoreGoing Public Lawyer

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