Year: 2018

This Week In Securities Litigation (Week ending March 2, 2018)

The Commission filed a series of cases this week which included: an action against a town attorney involved in 26 muni bond offerings in which critical financial information was concealed; another action involving a registered broker-dealer and investment adviser that

Tagged with: , ,

SEC Settles Insider Trading Case With Corporate Insider

Some corporate insiders make the mistake of trading while in possession of material non-public information. Others compound the error by lying to the SEC staff during an ensuing investigation. Yang Xie, formerly an employee at a pharmaceutical company, traded minutes

Tagged with: ,
Top