Category: SECActions

This Week In Securities Litigation (Week ending May 26, 2017)

Heading into a long holiday weekend the Chairman continued to fill out the senior staff of the agency. Peter Uhlmann, a staff veteran who has held several senior management positions, was appointed as Managing Executive in the Chairman’s Office. The

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SEC, USAO Charge Four With Insider Trading Tied to Political Intelligence

The Commission resolved an earlier action against a political intelligence firm that had ties to the Centers for Medicare & Medicate Services or CMS by requiring admissions, a cease and desist order and revamped compliance procedures. The Order asserted allegations

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