Year: 2011

Keeping it in the family is a recurring theme in SEC insider trading cases. Recently the Commission has brought insider trading cases against a father and son, SEC v. Perterson, Civil Action No. 11-CV-5448 (S.D.N.Y. Filed Aug. 5, 2011), a …

A FATHER AND SON INSIDER TRADING CASE INVOLVING ETFs Read More »

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The IG Report The SEC inspector general issued a report on Tuesday referring the matter regarding former SEC General Counsel David Becker’s involvement with the Madoff clawback suits to the DOJ. The report also contains a number of recommendations including …

THE SEC IG REPORT; INSIDER TRADING Read More »

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