SEC v. Kohler, Case No. 06-4550 (E.D. Pa. June 8, 2009) is another example of the Commission’s aggressive enforcement in international insider trading cases. In Kohler, the SEC amended its complaint on Monday, adding as defendants a Swiss national and …

Insider Trading: Aggressive International Enforcement Read More »

The Commission filed a settled administrative proceeding on Monday which named as Respondents Evergreen Investment Management Company LLC, a registered investment adviser and Evergreen Investment Services, Inc., the adviser’s affiliated registered broker dealer. The proceeding is based on claimed violations …

Mortgage-Backed Securities Fund Settles Action Keyed To Improper Valuation Read More »