Month: March 2013

This Week In Securities Litigation (Week ending March 30, 2013)

Insider trading continues t be the focus as the first quarter of the year came to a close. The SEC and the Manhattan U.S. Attorney’s Office brought another insider trading case against an SAC Capital official. More unidentified traders were

Tagged with: , ,

Brokerage Founder and Fund Manager Charged With Fraud by SEC

A management company, its principal, a brokerage firm and its founder were charged with fraud in an administrative proceeding initiated by the Commission. In the Matter of John Thomas Capital Management Group LLC, Adm. Proc. File No. 3-15255 (March 22,

Tagged with: , , ,
Top