Year: 2011

THIS WEEK IN SECURITIES LITIGATION (February 18, 2011)

On Capitol Hill this week the Senate Banking Committee heard testimony from SEC Chairman Schapiro regarding the Commission’s efforts to implement Dodd-Frank. Despite budget constraints the SEC is moving forward in accord with the directives in the legislation. SEC enforcement

ANOTHER INSIDER TRADING CASE BASED ON A MOSAIC OF FACTS

The SEC brought another insider trading case based on a conclusion reached by a trader from a mosaic of information he heard and observed. In this case the action is against the brother of a corporate official who overheard bits

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