Compliance Made Simple™

Insights - Our Blog


Laura Anthony: Why Does the SEC Care about Broken Windows

These days the SEC is committed to enforcing infractions big and small. They are beginning to “investigate, review and monitor all activities, and not just wait for someone to call and complain or just wait for the big cases,” says SEC Attorney, Laura Anthony.

Not Feeling Compliant?
We invite you then to learn more about our Compliance Resource Analysis or by emailing us at: to start the conversation.
What’s your SOX GRADE ? Find out
Find out now by receiving your complimentary: Control Compliance Analysis with Sonia Luna.
Learn how to save over 25% of your SOX Compliance costs.

Listen to Entire Laura Anthony Interview

About Laura Anthony
Laura Anthony ( is the Founding partner of Legal & Compliance, LLC, a national corporate, securities and business transaction law firm. And we’ll be discussing new areas of focus by the SEC.

For 15 years, Laura has focused her law practice on small and mid-cap public companies, the OTC market, new IPOs, mergers and acquisitions and complex business transactions. She founded and hosts a regular show on ( and You Tube watched regularly by thousands across the U.S.

Prior to founding Legal & Compliance, Laura served as Chief Legal Counsel for a national investment banking firm and a NASDAQ broker dealer with over 200 employees. She is an honors graduate from Florida State University College of Law and has been practicing law over 22 years. She is a supporter and of community organizations, including the Cystic Fibrosis Foundation and is active the American, Florida and Palm Beach Bar Associations.