Year: 2013

The Commission filed a settled insider trading case against a corporate executive who traded in advance of a tender offer while in possession of material, non-public information. SEC v. Lackey, Civil Action No. 2:13-CV-2153 (W.D. Tenn. Filed March 11, 2013). …

Corporate Executive Settles SEC Insider Trading Case Read More »

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Mary Jo White, President Obama’s nominee to become Chairman of the SEC, testified before the Senate Committee on Banking, Housing and Urban Affairs as part of the confirmation process. While some had anticipated that the testimony might be elongated or …

SEC Enforcement “Must be Bold and Unrelenting” Ms. White Says Read More »

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