The Second Circuit handed down a significant decision last week on deception under Section 10(b) and Rule 10b-5. In U.S. v. Finnerty, Docket No. 07-1104-cr (July 18, 2008), the Court affirmed the ruling of the district court granting a post …

Deception Under Section 10(b): Stoneridge And Policy Concerns Which Can Limit SEC And DOJ Enforcement Actions Read More »

This week continues to be dominated by the on-going market crisis. The SEC’s extraordinary intervention in the markets is perhaps the talk of Wall Street. At the same time, the Enforcement program continued with what seems to be its signature …

This Week In Securities Litigation (July 18, 2008) Read More »