Tag: offering fraud

This Week In Securities Litigation (Week ending July 21, 2017)

The Commission affirmed by a divided vote an Initial Decision dismissing insider trading charges against Wells Fargo trader Joseph Ruggieri. At a hearing the Division of Enforcement failed to prove that in six instances Mr. Ruggieri traded ahead of announcements

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This Week In Securities Litigation (Week ending July 14, 2017)

Recently installed Chairman Jay Clayton delivered his first remarks this week, outlining his views for moving forward. The Chairman emphasized IPOs, market structure, assessing the impact and cost of regulations and cyber security. SEC Enforcement brought four civil injunctive actions

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