Tag: administrative proceeding

The SEC filed another insider trading action as an administrative proceeding – a continuing trend. This action may also represent another trend – it is the second which names as a Respondent a member of the finance department for the …

Dress Barn Finance Department Yields Another SEC Insider Trading Action Read More »

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The SEC filed another settled insider trading action, charging a corporate executive. The action is not remarkable and is straight forward. What makes it noteworthy, however, is that the case is the fourth insider trading action brought as an administrative …

SEC Brings Another Insider Trading Administrative Proceeding Read More »

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