Securities
Apr. 5, 2014
Some clients prefer litigation over settlement when the SEC calls
In many cases, clients will find the agency's settlement demands are unacceptable and instead will conclude that litigation is their best option. By Michael Mugmon and Chris Johnstone
Securities and Exchange Commission Chair Mary Jo White's commitment to enforce securities violations like a cop on the beat seems certain to lead to more litigation, requiring a vigorous defense from the outset for individuals and companies faced with an SEC investigation.
White has said she's adopting the "broken windows" policy of policing that New York City Police Commissioner William J. Bratton...
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