Year: 2010

THIS WEEK IN SECURITIES LITIGATION (March 12, 2010)

Capital Hill continued to debate market reform this week with the introduction of the Volker Rule bill in the Senate. SEC enforcement focused on resolving financial fraud and Ponzi scheme cases, while the appellate section at FINRA reversed a panel

PERSISTENCE YIELDS THE SEC A SETTLEMENT WITH A LAWYER

Nobody will ever claim that, once on the trail, the SEC is not persistent. Nine years after the complaint was filed, and following an acquittal on parallel criminal charges, attorney Jay Lapine settled fraud and books and records charges with

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