Year: 2011

On Capitol Hill this week the Senate Banking Committee heard testimony from SEC Chairman Schapiro regarding the Commission’s efforts to implement Dodd-Frank. Despite budget constraints the SEC is moving forward in accord with the directives in the legislation. SEC enforcement …

THIS WEEK IN SECURITIES LITIGATION (February 18, 2011) Read More »

The SEC brought another insider trading case based on a conclusion reached by a trader from a mosaic of information he heard and observed. In this case the action is against the brother of a corporate official who overheard bits …

ANOTHER INSIDER TRADING CASE BASED ON A MOSAIC OF FACTS Read More »