Month: November 2008

This was a week to resolve or, at least partially resolve, cases in litigation. The SEC settled one insider trading case filed in early 2007 and partially settled another fraud case initially filed in 2006. In addition, one significant criminal …

This Week In Securities Litigation (November 7, 2008) Read More »

One of the key participants in what many billed as the most significant insider trading case since the late 1980’s was sentenced on Monday. Mitchel Guttenberg, a former executive director in the equity research department of UBS Securities LLC was …

Guttenberg, Defendant In “Most Significant Insider Trading Case” Sentenced Read More »