The SEC and a corporate defendant and its former officers won securities cases in court last week, as another high profile options backdating trial began, and one of the more significant insider trading cases moved closer to trial after the …

The Week In Review (November 23-29, 2007): Trials End and Begin as the Options Scandal Trudges To Conclusion Read More »

This month, a Federal Judge in Massachusetts entered a final judgment of dismissal as to three of six named defendants in the SEC’s two year old action against the former Putnam Fiduciary Trust Company executives. The SEC’s complaint, filed in …

Court Dismisses SEC Fraud Claims As to Three of Six Defendants For Failure to Plead Particularized Facts As to Each Dismissed Defendant Read More »