Year: 2010

The SEC won a significant victory in the Fifth Circuit Court of Appeals. The court reversed the Commission’s high profile loss (here) in its insider trading case against entrepreneur and Dallas Mavericks owner Mark Cuban. SEC v. Cuban, No. 09-10996 …

SEC v. CUBAN: A HIGH PROFILE VICTORY FOR THE SEC – FOR NOW Read More »

The Second Circuit clarified the application of the bespeaks caution doctrine, drawing a line between statements which might invite an inference of reducing risk in the future and characterizations which communicate a present or historical fact. Iowa Public Employees’ Retirement …

APPLYING THE BESPEAKS CAUTION DOCTRINE Read More »