In earlier parts of this series, we discussed two approaches used by the Circuit Courts to address the question of primary vs. secondary liability under Section 10(b) and Rule 10b-5.  This is part of the struggle the circuit courts have …

LIABILITY IN SECURITIES FRAUD DAMAGE ACTIONS: Part V – The Path to Stoneridge and the Rise of Scheme Liability Read More »

The SEC Enforcement Staff has been back in the archives again.  Last week, they dusted off another accounting fraud from 1999 and charged IBM employee Kevin Collins with assisting Dollar General in cooking the books.  As a result, a settled …

The SEC Historical Society Strikes Again Read More »