Month: November 2006

On November 20, 2006, the Commission settled insider trading charges against David M. Willey, former CFO of Capital One Financial Corporation. The SEC alleged that Willey traded Capital One stock in advance of a negative announcement concerning supervisory action by …

Former Capital One CFO Settles with SEC for $1.8 Million and 5 Year Bar Read More »

The change in Congressional leadership may have an immediate and significant impact on the SEC and the securities laws. Rep. Barney Frank (D-MA) is scheduled to become Chairman of the House Financial Services Committee in the next Congress. His recent …

Legislation Proposed by Rep. Frank May Indicate Direction of New Congress on Securities Issues Read More »