Hearings began on Capital Hill focusing on modifying a provision of Dodd-Frank the SEC has long sought. Chairman Schapiro claimed the provision is key to the SEC’s inspection program since it permits the agency to withhold certain proprietary materials. SEC …

THIS WEEK IN SECURITIES LITIGATION (September 17, 2010) Read More »

The SEC prevailed on two of five remaining claims against Robert Berlacher and several investment funds he managed following a three day bench trial. The court ordered Mr. Berlacher to pay disgorgement on a net basis on the two claims, …

SEC WINS TWO OF FIVE CLAIMS IN PIPE OFFERING CASE Read More »