Month: July 2009

The SEC seems to be pushing the limits of insider trading theory. Last week, the Commission lost the Cuban insider trading case, as discussed here. There, the SEC tried to bring an insider trading case based on the misappropriation theory …

PUSHING THE EDGES OF INSIDER TRADING: CUBAN AND DOROZHKO Read More »

The SEC filed two actions yesterday naming market professionals. The first, against Tennessee-based broker dealer Morgan Keegan & Company, tracks many others — but unlike its predecessors it did not settle and was filed shortly after a Wells Notice. SEC …

NOT THE USUAL SEC CASES AGAINST MARKET PROFESSIONALS Read More »