The criminalization of securities enforcement has increased in recent years. In many instances, it is difficult if not impossible to discern the dividing line between criminal and civil securities actions (here). The virtual demise of the formal criminal reference process …

FRENCH DOCTOR CHARGED IN CRIMINAL AND CIVIL INSIDER TRADING CASES Read More »

Dodd-Frank has been described as the most comprehensive overhaul of the financial regulatory system since the great depression. Since it was crafted to address the most significant market crisis since the one which spawned the Federal Securities Laws, many may …

THE VIEW FROM THE BOARD IN THE WAKE OF DODD-FRANK Read More »