Brooks, Pierce, McLendon, Humphrey & Leonard, LLP is pleased to announce the launch of a new blog on Securities and Exchange Commission (“SEC”) enforcement actions and white-collar crime: Cady Bar the Door, which can be found at www.cadybarthedoor.com.
As an SEC staff member for six years, ultimately as an Assistant Director in the SEC’s Enforcement Division, David Smyth led the investigation and litigation of a wide variety of federal securities law violations. These matters included insider trading, market manipulations, securities registration violations, audit misconduct, accounting fraud, anti-money laundering violations, and Foreign Corrupt Practices Act violations.
Now with Brooks Pierce, Smyth counsels clients on legal compliance and defends those entangled in investigations by the SEC and other enforcement agencies.
“With Cady Bar the Door, I plan to explore the significance and meanings of SEC enforcement actions, as well as related white collar criminal matters, to help readers more fully understand the way these matters work – from investigation through litigation,” says Smyth.
The blog’s title is a pun, a play on the SEC’s seminal administrative opinion on insider trading law: In re Cady, Roberts & Co. (1961).