Month: March 2010

JONES v. HARRIS – GARTENBERG PLUS

Adopting the position argued by all of the parties, the Supreme Court unanimously rejected the Seventh Circuit’s disclosure approach to the question of adviser fees under Section 36(b) of the Investment Company Act. Rather, the Court embraced the approach initially

ANOTHER GUILTY PLEA IN GALLEON

The blue collar tactics continue to yield guilty pleas for the government in the Galleon insider trading cases. This week Robert Moffat, Jr. pleaded guilty to a two count information charging conspiracy to commit securities fraud and securities fraud based

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