Year: 2011

The SEC resolved two Galleon related insider trading cases. One involved Robert Feinblatt, a co-founder and former principal of hedge fund Trivium Capital Management LLC. SEC v. Feinblatt, Civil Action No. 11-CV-0170 (S.D.N.Y.). The other was against Anthony Scolaro, a …

SEC SETTLES TWO GALLEON RELATED INSIDER TRADING CASES Read More »

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The Commission continues to pursue its strict liability policy regarding the application of Section 304 of the Sarbanes Oxley Act. Under that Section the CEO and CFO can be required to repay certain incentive based compensation they receive if there …

THE SEC CONTINUES ITS STRICT LIABILITY APPROACH TO SOX 304 Read More »

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