This week, Cornerstone Research reported that the number of securities cases filed in the first half of this year increased. The SEC announced a significant tentative settlement in its auction rate securities investigation of Citigroup, while concluding its three-year litigation …

This Week In Securities Litigation (August 8, 2008) Read More »

Two settled books and records cases filed by the SEC on Tuesday raise significant questions about the Commission’s enforcement program. Both are based on years-old conduct, an issue discussed here. One raises significant questions about prosecutorial discretion and why the …

Two Financial Cases: More Questions about the SEC’s Enforcement Program Read More »