Tag: aiding and abetting

The opinions written by Judge Rakoff have not always been favorable to the SEC. In recent years he has accused the agency of conducting a sham investigation before finally, and reluctantly, approving the revised proposed settlement in its market crisis …

SEC Prevails In The Second Circuit On Aiding And Abetting Claim Read More »

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Primary liability in a Section 10(b)-5(b) false statement case was defined by the Supreme Court in terms of control and authority over the statement in Janus capital Group, Inc. v. First derivative Traders, 131 S.Ct. 2296 (2011). Closely parsing the …

PRIMARY LIABILITY UNDER RULE 10b-5 Read More »

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