Month: March 2011

The Gupta insider trading case is a significant, high profile action by an SEC Enforcement program which is working hard to restore its lost luster. Mr. Gupta is a former Goldman Sachs director, a firm which is an icon of …

THE GUPTA INSIDER TRADING CASE – SIGNIFICANT QUESTIONS Read More »

This week the SEC continued to implement the Wall Street Reform Act, issuing another group of proposed rules to aid the implementation of the legislation. The SEC Chairman also testified before congress as the week drew to a close, reporting …

THIS WEEK IN SECURITIES LITIGATION (March 4, 2011) Read More »