Year: 2010

THIS WEEK IN SECURITIES LITIGATION (March 19, 2010)

The SEC got another black eye this week when the court refused to modify its consent decree from the analysts’ scandals to take down part of the firewall established to avoid improper communication. SEC enforcement brought cases based on account

THE SEC AND CONSISTENCY

Consistency is sometimes a virtue and, at other times, the “hobgoblin of small minds” to borrow an old phrase. In SEC v. Pentagon Capital Management PLC, Case No. 08 Civ. 3324 (S.D.N.Y. Filed April 3, 2008), the SEC learned in

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