This week in securities litigation fraudulent trading and insider trading cases were a focus of SEC Enforcement. Both DOJ and the SEC continued to bring FCPA cases and the CFTC filed a Ponzi case. The Second Circuit Court of Appeals …

THIS WEEK IN SECURITIES LITIGATION (July 9, 2010) Read More »

The Second Circuit reversed the securities fraud convictions of Mark Kaiser arising out of the financial fraud at Royal Ahold subsidiary U.S. Food Services, concluding that the instructions regarding a key intent element were error. Mr. Kaiser is a former …

THE INTENT ELEMENT IN A CRIMINAL SECURITIES CASE Read More »