Year: 2008

The SEC settled with two of the six defendants in its two-year old case against six former officers of Putnam Fiduciary Trust Company, a Boston based transfer agent. The complaint, initially filed in 2006, alleged that the defendants’ violated Securities …

SEC Settles With Two of Six Former Putnam Employees Read More »

The Commission settled another insider trading case on Friday, SEC v. Erickson, Civil Action No. 03-07-CV-0254 (N.D. Tex. Filed Feb. 7, 2007). This action has been in litigation since early 2007. It claimed that Donald Erickson, a former audit committee …

A Litigated Insider Trading Case Against An Audit Committee Member Settles Read More »