Month: January 2007

Will the SEC Bring a Spring-loaded Options Case?

Well, it depends.  In December, we noted that the SEC had “not made a decision” concerning such cases, according to senior members of the enforcement staff.  This is not surprising, given the difficult nature of the issue.  For example, in

Parameters of Cooperation Under Seaboard

This week the SEC announced more enforcement actions and settlements in its action involving Royal Ahold (Koninklijke Ahold N.V.) and its subsidiary, U.S. Foodservice.  Thirteen additional individuals were charged in the massive financial fraud and several agreed to settle