The Senate Committee on the Judiciary heard testimony yesterday on what might be called the current state of rejuvenating SEC Enforcement. Witnesses included Division Director Robert Khuzami, Fort Worth Regional Office Director Rose Romero and SEC Inspector General H. David …

SEC ENFORCEMENT: MOVING FORWARD BUT MILES TO GO Read More »

The SEC won a significant victory in the Fifth Circuit Court of Appeals. The court reversed the Commission’s high profile loss (here) in its insider trading case against entrepreneur and Dallas Mavericks owner Mark Cuban. SEC v. Cuban, No. 09-10996 …

SEC v. CUBAN: A HIGH PROFILE VICTORY FOR THE SEC – FOR NOW Read More »