Month: January 2010

This is the fifth in a series of articles examining future trends in securities enforcement. The regulation of market professionals is a key area of responsibility for the Commission. Actions brought in this area are a critical part of the …

SELECTED ENFORCEMENT CASES: MARKET PROFESSIONALS AND OTHER SIGNIFICANT CASES Read More »

To begin the new year and decade, the SEC won an important ruling in its Bank of America case, concluded settlements in two insider trading cases and wrapped up the “Enron Barge” case. At the same time, the Galleon insider …

THIS WEEK IN SECURITIES LITIGATION (January 8, 2010) Read More »