Year: 2009

THIS WEEK IN SECURITIES LITIGATION (October 30, 2009)

This week SEC enforcement stayed with their staples, actions involving insider trading and investment fund fraud. DOJ’s cases involved insider trading and a Ponzi scheme. The circuit courts however, turned to other subjects, handing down decisions regarding D&O coverage for

AN UNFORSEEN IMPACT OF AN SEC COMPLAINT: NO D&O COVERAGE

In many instances, the impact of the allegations in an SEC enforcement action reach beyond the immediate claims in the suit. Rivelli v. Twin City Fire Ins. Co., Case No. 08-1480 (10th Cir. Decided Oct. 26, 2009) is a case

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