SEC enforcement has traditionally combined the functions of the cop on the beat and regulation through litigation. The policies and procedures which govern the SEC’s enforcement efforts can have a critical impact on those involved in its cases. While some …

Part II: SEC Enforcement Trends and Priorities 2008 — Policies Read More »

This week, the Ninth Circuit handed down a significant parallel proceedings ruling. At the same time the SEC brought another in a series of financial fraud cases, while the U.S Attorney in New York resolved the last of the criminal …

This Week In Securities Litigation (April 11, 2008 edition) Read More »