This week SEC enforcement stayed with their staples, actions involving insider trading and investment fund fraud. DOJ’s cases involved insider trading and a Ponzi scheme. The circuit courts however, turned to other subjects, handing down decisions regarding D&O coverage for …

THIS WEEK IN SECURITIES LITIGATION (October 30, 2009) Read More »

In many instances, the impact of the allegations in an SEC enforcement action reach beyond the immediate claims in the suit. Rivelli v. Twin City Fire Ins. Co., Case No. 08-1480 (10th Cir. Decided Oct. 26, 2009) is a case …

AN UNFORSEEN IMPACT OF AN SEC COMPLAINT: NO D&O COVERAGE Read More »