Does the prosecution of minor violations deter more serious offences when it comes to financial reporting violations?

Brandon Cline, the John “Nutie” and Edie Dowdle Professor of Finance at Mississippi State University, will examine the effectiveness of this approach during the next Goodman Luncheon Speaker Series presentation.

Brandon Cline, the John “Nutie” and Edie Dowdle Professor of Finance at Mississippi State University

During his lecture, Cline will discuss the “broken windows” approach adopted by the U.S Securities and Exchange Commission under then-Chair Mary Jo White, which aimed to prevent major violations by enforcing minor ones.

The talk, Broken Windows: SEC Enforcement of Delinquent Insider Filings, takes place from 12:30 to 2 p.m. on Friday, Oct. 25 in Sankey Chamber.

Cline also serves as Co-Director at the Institute for Market Studies and as Finance Ph.D. Coordinator at Mississippi State. His work can be found in prominent finance journals such as The Journal of Financial Economics, Journal of Financial and Quantitative Analysis, The Journal of Corporate Finance among others and has also been featured in the Wall Street Journal, Washington Post and Harvard Business Review.

The Luncheon Speaker Series provides Goodman faculty, staff and students with an informal opportunity to discuss recent advances in research, teaching and practices with business colleagues.

The event is open to everyone, and anyone interested in attending can RSVP to Crystal Li at goodmandean@brocku.ca to reserve a seat.