The line between criminal and civil securities fraud is often difficult to detect. The federal securities laws give the SEC the right to bring civil enforcement actions based on violations of the antifraud provisions. The Department of Justice has the …

FINDING THE LINE BETWEEN CRIMINAL AND CIVIL SECURITES FRAUD Read More »

The SEC continued its focus on insider trading, filing another settled action against a corporate executive. SEC v. Fogel, Case No. 1:10-CV-10097 (D. Mass. Jan. 22, 2010). The case is against Avi Fogel, the former Vice President of strategic initiatives …

A CONTINUED FOCUS ON INSIDER TRADING Read More »