Year: 2009

THIS WEEK IN SECURITIES LITIGATION (October 2, 2009)

The staple of SEC enforcement appears to be investment fund fraud cases with five new actions brought this week. The Commission also settled with former executives of General Re and filed a settled administrative proceeding based on a failure to

THE FCPA CONTINUES TO BE AN ENFORCMENT PRIORITY

The FCPA continues to be an enforcement priority for the SEC and DOJ. This year alone there are record-setting settlements and a record number of trials. Increasingly, the cases involve foreign regulators. With over 120 open investigations at DOJ, it

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