The Supreme Court was the focus this week with oral argument in Lorenzo v. SEC, an action centered on ascertaining the dividing line between primary and secondary liability under Exchange Act section 10(b). The arguments were based on the application…
Tag: Insider trading
This Week In Securities Litigation (Week ending Nov. 16, 2018)
The Commission brought one civil enforcement action this week. The case centers on a boiler room and the manipulation of a penny stock over a three year period. The action, and the parallel criminal case, are related to similar actions…
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