Securities

Recent Posts

The Second Circuit, Primary Liability and the Bright Line Test
Posted on 4 May 2010 by Thomas O. Gorman

Note: The enhanced versions of the opinions cited below may be accessed by lexis.com subscribers. Except where noted, non-subscribers may access the unenhanced version on lexisONE's Free Case Law. The dividing line between primary and secondary... Read More

Tags: primary liability , securities enforcement , securities fraud , secondary liability

High Stakes for the SEC, Goldman and Investors
Posted on 19 Apr 2010 by Thomas O. Gorman

The Commission's action against Goldman Sachs is the most significant case it has brought in years. SEC v. Goldman Sachs & Co. , Case No. 3229 (S.D.N.Y. Filed Apr. 16, 2010). The case pits the once revered securities markets regulator struggling... Read More

Tags: CDOs , SEC , collateralized debt obligations , securities enforcement , securities fraud , Goldman Sachs

The Criminalization of Securities Enforcement and Overreaching
Posted on 14 Dec 2010 by Thomas O. Gorman

Attorney General Eric Holder, in remarks at the Western Regional Financial Fraud Enforcement Task Force Summit on December 10, 2010 , emphasized the need to continue to "make use of the full range of parallel criminal and civil enforcement resources... Read More

Tags: securities enforcement