Month: January 2007

Well, it depends.  In December, we noted that the SEC had “not made a decision” concerning such cases, according to senior members of the enforcement staff.  This is not surprising, given the difficult nature of the issue.  For example, in …

Will the SEC Bring a Spring-loaded Options Case? Read More »

This week the SEC announced more enforcement actions and settlements in its action involving Royal Ahold (Koninklijke Ahold N.V.) and its subsidiary, U.S. Foodservice. http://sec.gov/litigation/litreleases/2007/lr19975.htm.  Thirteen additional individuals were charged in the massive financial fraud and several agreed to settle …

Parameters of Cooperation Under Seaboard Read More »