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Month: May 2012

Posted on by T. Gorman Posted in SECActions

SEC enforcement this holiday shortened week dismissed the remaining defendants in an insider trading case centered on an international take over which had been filed largely on the trading and within days of the announcement. The Court cited discovery difficulties …

THIS WEEK IN SECURITIES LITIGATION (Week ending June 1, 2012) Read More »

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Posted on by T. Gorman Posted in SECActions

The SEC filed an action against a Texas and Mexico based unregistered investment adviser, Jorge Gomez, charging that he misappropriated millions of dollars from one client. The Commission’s complaint also named as a defendant the broker and investment adviser for …

COMMISSION NAMES ADVISER AND FINDER IN FRAUD ACTION Read More »

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