Year: 2011

THIS WEEK IN SECURITIES LITIGATION (May 27, 2011)

The Commission issued it controversial new Dodd-Frank whistleblower rules by a 3 to 2 vote this week. Many critics claim the rules will undermine corporate compliance programs. Insider trading is the key theme this week. Insider trading on Capitol Hill

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SEC FILES SETTLED INSIDER TRADING CASE INVOLVING RELATIVES

The Commission filed a settled insider trading case which is based on the misappropriation of inside information by one relative from another. SEC v. Haim, Civil Action No. 11-cv-295 (D.N.Y. Filed May 24, 2011). Defendant Abraham Haim is a self-employed

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