Year: 2009

The SEC is facing another dilemma in Judge Rakoff’s courtroom in the Southern District of New York. The question this time does not involve SEC v. Bank of America, discussed here, which is on its way to trial. This dilemma …

THE USAO, THE SEC AND STAYS: ENFORCING THE LAW FAIRLY Read More »

The SEC continued its war on insider trading, filing another settled enforcement action. SEC v. Spaugy, Civil Action No. 09-CV-687 (N.D. Okla. Filed Oct. 23, 2009). Defendant Don Spaugy was the Vice President of Financial Services for SemGroup, LP. Between …

THE WAR ON INSIDER TRADING CONTINUES Read More »