Month: August 2011

The U.S. Attorneys Office in Manhattan and the SEC continue to work in tandem in their war on insider trading. Their most recent cases were brought against a father and son. The father is Clayton Peterson, a member of the …

FATHER AND SON PLEAD GUILTY TO INSIDER TRADING CHARGES Read More »

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The Commission took the unprecedented of dismissing the insider trading action against former Goldman Sach director Rajat Gupta, noting that he challenged the administrative proceeding in district court. The SEC reserved the right to file a federal court action. No …

THIS WEEK IN SECURITIES LITIGATION (August 5, 2011) Read More »