Year: 2009

THIS WEEK IN SECURITIES LITIGATION (December 11, 2009)

NERA released statistics on the SEC enforcement program this week showing that the number of cases settled by enforcement declined for the second straight year. Those results contrasted with the presentation made to the AICAP by the Enforcement Director. Those

ANOTHER MARKET CRISIS CASE

The SEC brought its second enforcement action this week stemming from its much discussed market crisis investigations. This case is against a broker dealer and its former CEO Stanley Brooks. It focused on the sale of risky mortgage-backed securities through

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