Month: July 2011

The SEC filed another “suspicious purchases” insider trading case. SEC v. Compania International Financier S.A., Civil Action No. 11 CV 4904 (S.D.N.Y. Filed July 15, 2011). Typically these cases are brought against “one or more unknown purchasers” of the securities …

AN AGGRESSIVE INSIDER TRADING CASE Read More »

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The SEC has in recent years suffered through its fair share of failures, blunders and gaffs. Indeed, there are times that it seems like this string will never end. At the same time it is important to view these incidents …

EFFECTIVE ENFORCEMENT BEGINS WITH ADEQUATE FUNDING FOR THE SEC Read More »

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