Tag: SEC

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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SEC Files Another Offering Fraud Action

Offering fraud actions have become one of the staples of the Enforcement Division. With a focus on protecting retail investors, the Division has initiated a series of these cases which often frequently target unsuspecting seniors and retirees who lose much

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