Year: 2011

THIS WEEK IN SECURITIES LITIGATION (May 20, 2011)

This week SEC Enforcement continued to implement its new cooperation initiatives, moving forward from the spectacle of the Stanford testimony last week and the past. The Commission executed its first deferred prosecution agreement. The fact that it resolved an FCPA

ANOTHER INSIDER TRADING CASE – OR IS IT?

SEC v. Knight, Civ. 2:11-cv-00973 (D. Ariz. Filed May 18, 2011) is a a settled insider trading case against a corporate official and her tippee friend. At first glance the case is a routine insider trading case. A closer reading

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