This week, the trial of the SEC’s CDS insider trading case continued in New York. The Commission brought its most significant enforcement action in years, SEC v. Goldman Sachs. Many viewed the case as an indication that the SEC’s enforcement …

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The government obtained a conviction against Bruce Karatz, former Chief Executive Officer of KB Home, in its criminal option backdating case. The verdict, however, raises more questions than it resolves. U.S. v. Karatz, Case No. 09-203 (C.D. Cal.). The jury …

THE LINE BETWEEN CRIMINAL AND CIVIL SECURITIES CASES Read More »