Month: May 2008

Last year, the Commission brought 10 cases which named lawyers as defendants. This was a record number. Many of these cases were based on allegations of insider trading, options backdating and fraud. Two cases from last year which are currently …

Part XV: SEC Enforcement Trends And Priorities, 2008 Read More »

For a disclosure agency, the SEC certainly does not disclose much. Brooks Automatic, Inc., a semiconductor capital equipment company in Chemsford, Massachusetts agreed to settle a Commission enforcement action alleging option backdating. Prior to settling the action the company cooperated …

What Value Cooperation? Another Option Backdating Case Raises The Question Read More »