Business Crimes Perspective - March 2010

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SEC v. TAMBONE: The First Circuit Reverses Course on What It Means to “Make” a Statement Under the Securities Laws

The First Circuit’s en banc ruling in SEC v. Tambone, No. 07 1384 (Mar. 10, 2010), vacated a key part of a prior ruling by a three-judge panel (Business Crimes Perspectives - February 2009), and provides important guidance on the scope of “primary violator” liability under Section 10(b) of the 1934 Exchange Act and Rule 10b-5 thereunder.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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