Year: 2009

THIS WEEK IN SECURITIES LITIGATION (September 18, 2009)

The Commission had a difficult week in court with the rejection of a settlement in one high profile case, while all if its claims against another defendant were dismissed. Rather than being settled, Bank of America is now set for

CONTINUING QUESTIONS ABOUT THE FOCUS OF SEC ENFORCEMENT

A key law enforcement focus should be the prevention of violations in the future. SEC enforcement has traditionally focused on this point. The resolution of a recent financial fraud case however, again raises questions about whether the Commission is in

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