Year: 2008

This Week In Securities Litigation (July 25, 2008)

This week in securities litigation, the Second Circuit Court of Appeals handed down a significant decision in a criminal securities case against an exchange specialist discussing the requirement of deception under Section 10b. The SEC brought a settled financial fraud

An Act To Regulate The Use Of Deferred And Non-Prosecution Agreements

An increasing number of criminal investigations involving business organizations are resolved with non-prosecution or deferred prosecution agreements. Consider, for example, the increasing numbers of Foreign Corrupt Practice Act cases. While many of these case end with prosecutions as to individuals,