Year: 2011

The SEC filed an action against a biotech company, three shareholder companies, and four senior executives of the company for making false statements regarding the FDA status of its sole product. The executives were also charged with insider trading. SEC …

SEC FILES FRAUD ACTION AGAINST BIOTECH COMPANY AND ITS EXECUTIVES Read More »

The SEC prevailed in the Second Circuit Court of Appeals, securing the reversal of an order dismissing its claims against the portfolio manager of a mutual fund and the chief operating officer of the fund’s investment adviser. SEC v. Gabelli, …

THE SEC WINS REVERSAL IN THE SECOND CIRCUIT Read More »

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