Year: 2008

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 »