Month: February 2011

The Commission concluded a long running financial fraud action yesterday, settling with the former CFO of Fischer Imaging Corporation, Rodney B. Johnson, and a former sales executive of the company, Robert Hoffman. SEC v. Rivelli, Civ. No. 05-CV-1039 (D. Colo. …

THE SEC CONCLUDES A FINANCAL FRAUD CASE Read More »

This is the fifth in a series of articles that will be published periodically analyzing the direction of SEC enforcement. The focus of SEC enforcement in the coming months is a function of its constricted and later expanded authority. Last …

SEC ENFORCEMENT TRENDS 2011: THE SUPREME COURT, DODD-FRANK AND THE REACH OF SEC ENFORCEMENT Read More »