Month: October 2009

The SEC appealed from the decision dismissing its insider trading case against Mark Cuban. SEC v. Cuban, No. 08-2050 (N.D. Tex. July 17, 2009). Previously, the Commission rejected an opportunity to amend its complaint. The decision to appeal Cuban is …

APPEALING CUBAN: AGGRESSIVE INSIDER TRADING ENFORCMENT Read More »

The U.S. Attorney’s Office for the Eastern District of New York unsealed its latest indictment in an on-going investigation of fraudulent fees, sham transactions and kickbacks in the stock loan business. The case unsealed this week names as a defendant …

INDUSTRY WIDE INVESTIGATION: THE STOCK LOAN BUSINESS Read More »