Year: 2011

Ponzi scheme cases are now a staple of SEC enforcement. Over the last year or more the Commission has brought dozens of these cases. Most have the same common elements. The promoter has a trading or investment system. The investment …

A PONZI SCHEME CASE WITH A BETTER ENDING Read More »

Insider trading cases are notoriously difficult to prove. If everyone denies tipping or being tipped the proof problems become obvious. The current wave of cases using “blue collar” tactics have tried to overcome this with wire taps and wired informants. …

PREVAILING IN INSIDER TRADING CASES: THE TRADING CAN BE ENOUGH Read More »