Tag: conflicts

This Week In Securities Litigation (Week ending August 10, 2018)

The Commission, in conjunction with the Manhattan U.S. Attorney’s Office, filed an insider trading case against a sitting U.S. Congressman, his son and others. The case, based on a drug trial failure at a firm on whose board the Congressman

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This Week In Securities Litigation (Week ending July 20, 2018)

The Commission filed a series of enforcement actions last week focused largely on retail investors. Those cases included: An action against a former CCO involving undisclosed conflicts; another centered on false statements concerning a shale oil firm; a case centered

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