One of the key participants in what many billed as the most significant insider trading case since the late 1980’s was sentenced on Monday. Mitchel Guttenberg, a former executive director in the equity research department of UBS Securities LLC was …

Guttenberg, Defendant In “Most Significant Insider Trading Case” Sentenced Read More »

A previous post in this occasional series on the new Enforcement Manual considered its discussion of the Wells Process (discussed here). Another key section discusses “cooperation credit,” considered in Section 4.3 and titled “Waiver of Privilege.” Perhaps the most striking …

The New Enforcement Manual And Cooperation Read More »