Few cases illustrate more clearly the ongoing debate over whether the Securities and Exchange Commission leans too heavily on enforcement actions than one currently winding through the 9th U.S. Circuit Court of Appeals. The SEC is pursuing an investment banker accused of failing to disclose risks to investors in bond issues. But the banker says he was just doing what is customary.
April 27, 2000 at 12:00 AM
1 minute read
The original version of this story was published on Law.Com
Few cases illustrate more clearly the ongoing debate over whether the Securities and Exchange Commission leans too heavily on enforcement actions than one currently winding through the 9th U.S. Circuit Court of Appeals.
The SEC is pursuing an investment banker accused of failing to disclose risks to investors in several bond issues.
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