Insider trading is a key focus of SEC enforcement. With the formation of the market abuse unit which focuses on insider trading the Commission has been very aggressive. Not only has the Commission followed-up on inquiries initiated by the FINRA …
HEDGE FUND MANAGER ADDED TO A FATHER-SON INSIDER TRADING CASE Read More »
Eight SEC Enforcement attorneys were recognized by the Counsel of the Inspector General on Integrity for Excellence in connection with their work regarding the investigation of a significant market crisis case. The Commission filed its third significant enforcement action stemming …
THIS WEEK IN SECURITIES LITIGATION (October 21, 2011) Read More »