Lessons From SEC Focus On Compliance Officers

August 18, 2014

Dallas partner Kevin Boardman, Richmond partner Anitra Cassas, and Washington, D.C., partners Louis Greenstein and David Pankey and attorney Samantha Thompson co-authored an August 18, 2014, Law360 article titled “Lessons From SEC Focus On Compliance Officers.” In it, the authors explain the types of situations that may compel the Securities and Exchange Commission to pursue sanctions against compliance personnel. Subscribers can read the full text of the article on www.Law360.com or you can view the original alert published August 13, 2014.