Year: 2006

Unique Theory on Sale of Unregistered Securities – Investment Banker’s Short Sales Prior to a PIPE Offering

Wednesday the SEC filed a settled civil injunctive action alleging insider trading, selling of unregistered securities, and failure to supervise in connection with CompuDyne Corporation’s sale of a Private Investment in Public Equity (“PIPE”) against Northern Virginia investment banker Friedman,

Stock Option Manipulation – Role of Independent Directors in Question

Outside directors are suppose to be the watchdogs of shareholders by bringing an objective and detached view to the board room and providing a check on management.  Yet, a new study in what seems to be an ever-expanding series on