Tag: injunction

Eight SEC Enforcement attorneys were recognized by the Counsel of the Inspector General on Integrity for Excellence in connection with their work regarding the investigation of a significant market crisis case. The Commission filed its third significant enforcement action stemming …

THIS WEEK IN SECURITIES LITIGATION (October 21, 2011) Read More »

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The SEC prevailed in the Second Circuit Court of Appeals, securing the reversal of an order dismissing its claims against the portfolio manager of a mutual fund and the chief operating officer of the fund’s investment adviser. SEC v. Gabelli, …

THE SEC WINS REVERSAL IN THE SECOND CIRCUIT Read More »

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