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. …

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

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 …

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