The number of actions settled by the SEC in the last fiscal year remained essentially constant, according to a report prepared by NERA Economic Consulting. In contrast, the number of securities class actions filed last year ticked up slightly in …
Year: 2012
THIS WEEK IN SECURITIES LITIGATION (Week ending February 3, 2012)
Former Farris Baker Watts General Counsel Ted Urban finally prevailed in his long running battle with the SEC to clear his name and reputation. The Commission, on an evenly divided vote, affirmed the initial decision of the Administrative Law Judge, …
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Tagged with: failure to supervise, FCPA, financial fraud, FINRA, FSA, Insider trading, Ponzi scheme, secactions