Tag: Insider trading

This Week In Securities Litigation (Week ending June 9, 2017)

Chairman Clayton continued to build the senior staff this week, appointing Acting Enforcement Division Director Stephanie Avakian and Sullivan and Cromwell partner Steven Peikin as Co-Directors of the Division of Enforcement. The new Division co-directors identified cyber crime as the

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This Week In Securities Litigation (Week ending June 2, 2017)

The Commission filed one settled administrative proceeding this week involving an investment adviser. The Order charged cherry picking, making misrepresentations to clients regarding certain fees and a failure to trade a fund in accord with the disclosed objectives. FINRA announced

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