Month: June 2011

SEC enforcement statistics for the first half of this fiscal year may reflect changing trends. The number of cases the Commission settled during the period puts it on track to slightly exceed the number from last year, according to a …

SEC SETTLEMENT STATISTICS: FCPA UP, INSIDER TRADING DOWN Read More »

The SEC prevailed in then Ninth Circuit in its long running action against three former executives of Gateway, a computer manufacturer. SEC v. Todd, No. 07-56098 (9th Cir. June 23, 2011). The Circuit Court reversed the ruling of the district …

SEC PREVAILS IN CIRCUIT COURT IN FINANCIAL FRAUD CASE Read More »

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