Tag: Insider trading

This Week In Securities Litigation (Week ending April 19, 2019)

In a week that ends with religious holidays, the Commission’s enforcement efforts focused on offering fraud cases and insider trading. One offering fraud action centered on a state registered investment adviser who solicited clients with tales about a MarketDNA trading

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SEC Settles Insider Trading Case with Company Official

Last week the Commission brought an insider trading action against an in-house counsel at SeaWorld. Another insider trading action filed last week involved the Amazon – Whole Foods merger. There the husband misappropriated inside information on the pending deal from

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