Month: June 2010

The Commission settled with two more defendants in its long running financial fraud action, SEC v. Lucent Technologies, Inc., Case No. 04-2315 (D.N.Y. Filed May 17, 2004). The settlements were with defendants Jay Carter, the former president of Lucent’s AT&T …

SEC SETTLES WITH TWO MORE IN LUCENT FINANCIAL FRAUD CASE Read More »

Market reform legislation some call the most sweeping since President Franklin Roosevelt signed the bills which brought regulation to the securities and commodities markets is on the horizon. Each chamber of Congress has passed a bill. There are substantial similarities …

MARKET REFORM LEGISLATION AND THE DERIVATIVES MARKET Read More »