Year: 2009

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 »

The battle with insider trading continues as the Commission considers its options in the high profile loss in the Mark Cuban insider trading case discussed here. SEC v. Leyva, Case No. 09 cv 1565 (S.D. Cal. Filed July 20, 2009) …

THE SEC CONTINUES THE WAR ON INSIDER TRADING Read More »