The SEC staff confirmed last week at a conference in Washington, D.C. that the Office of Compliance and Inspections is conducting a sweep of selected Wall Street brokers for insider trading. Reportedly, the sweep is focusing on the last two …

Insider Trading Sweep Based on Complex Front Running Theory Read More »

Today the SEC filed settled civil charges against Ryan Ashley Brant, formerly the CEO and Chairman of the Board of Take-Two Interactive Software, Inc. http://www.sec.gov/news/press/2007/2007-20.htm The SEC alleged that during a seven year period, Brant participated in a “pick-a-date” option …

Another Parallel Civil/Criminal Stock Option Backdating Case Read More »