Year: 2010

THIS WEEK IN SECURITIES LITIGATION (July 9, 2010)

This week in securities litigation fraudulent trading and insider trading cases were a focus of SEC Enforcement. Both DOJ and the SEC continued to bring FCPA cases and the CFTC filed a Ponzi case. The Second Circuit Court of Appeals

THE INTENT ELEMENT IN A CRIMINAL SECURITIES CASE

The Second Circuit reversed the securities fraud convictions of Mark Kaiser arising out of the financial fraud at Royal Ahold subsidiary U.S. Food Services, concluding that the instructions regarding a key intent element were error. Mr. Kaiser is a former

Top