Month: February 2007

The SEC and DOJ have long coordinated when appropriate because parallel proceedings can maximize resources.  As former SEC Chairman Harvey Pitt noted:  “The SEC has had, and continues to have, a close relationship with its fellow law enforcement agencies.  Indeed, …

Parallel Proceedings Revisited in Brocade: A Question of Fairness Read More »

The SEC staff confirmed last week at a conference in Washington, D.C. that the Office of Compliance and Inspections is conducting a sweep of selected Wall Street brokers for insider trading. Reportedly, the sweep is focusing on the last two …

Insider Trading Sweep Based on Complex Front Running Theory Read More »