In SEC v. Alberto Perez, Case No. 09-CV-21977 (S.D. Fla.) a jury found defendant Alberto Perez liable for insider trading. The court however refused the SEC’s request for a permanent injunction. It did grant a request for an order requiring …
Year: 2011
THIS WEEK IN SECURITIES LITIGATION (November 18, 2011)
The SEC’s Division directors reported to Congress this week on the progress of the reforms at the Commission. SEC Enforcement brought an investment fund fraud action this week centered on luring investors with the prospect of acquiring pre-IPO shares of …
THIS WEEK IN SECURITIES LITIGATION (November 18, 2011) Read More »
Tagged with: ARS, class certification, clawback, Enforcement, investment fund fraud, segregation of funds, suitability, window dressing