In Senate confirmation hearings on Thursday, SEC Chairwoman nominee Mary Schapiro vowed to re-energize the Enforcement Division. Earlier in the week, the SEC resolved a long running insider trading case against a former corporate general counsel and filed another insider …

This Week In Securities Litigation (January 16, 2009) Read More »

In Roth v. Aon Corporation, Case No. 04 C 6835 (N.D. Ill. Ruling Jan. 8, 2009), the district court concluded that a draft of part of a Form 10-K transmitted to in-house counsel and several employees of the company during …

Filing A Form 10-K Does Not Waive Privilege As To Drafts Read More »