The Commission had a difficult week in court with the rejection of a settlement in one high profile case, while all if its claims against another defendant were dismissed. Rather than being settled, Bank of America is now set for …

THIS WEEK IN SECURITIES LITIGATION (September 18, 2009) Read More »

A key law enforcement focus should be the prevention of violations in the future. SEC enforcement has traditionally focused on this point. The resolution of a recent financial fraud case however, again raises questions about whether the Commission is in …

CONTINUING QUESTIONS ABOUT THE FOCUS OF SEC ENFORCEMENT Read More »