Year: 2009

Financial fraud cases continue to be a staple of SEC enforcement. Two financial fraud cases were filed by the Commission recently. One is in litigation. The other settled on filing, which is more typical. SEC v. Fraser, Case No. 2:09-cv-00442 …

The SEC Files Two Financial Fraud Cases Read More »

The Supreme Court on Monday agreed to hear Jones v. Harris Associates, L.P., No. 08-586 (S. Ct. Filed Nov. 3, 2008), which raises a significant question for the mutual fund industry. Specifically, the High Court will consider what shareholders must …

The Supreme Court’s Review Of A Section 36(b) Fee Suit Read More »