Month: March 2007

More Gatekeepers Under Fire: SEC Charges Two Former Enron In-House Attorneys

Yesterday, the SEC brought civil fraud charges against two former in-house attorneys of Enron Corp., Jordan Mintz, former VP and General Counsel of Enron’s Global Finance Group and Rex Rogers, former VP and Associate General Counsel.  SEC v. Jordan H.

The SEC or the SEC Historical Society? — Application of Statute of Limitations to SEC Investigations

The traditional focus of remedies in SEC enforcement actions is to deter violations of the federal securities laws via two methods.  First, in district court actions, the SEC typically seeks a statutory injunction requiring that the defendant obey the securities