Year: 2012

The Commission prevailed on its motion for summary judgment in a market crisis case based on the sale of risky collateralized mortgage obligations or CMOs to unsuitable retail customers. Ultimately investors suffered significant losses from the purchases and the broker’s …

SEC PREVAILS ON SUMMARY JUDGMENT IN MARKET CRISIS CASE Read More »

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The Commission prevailed on its summary judgment motion in an insider trading case against a husband and wife. SEC v. Jantzen, Case No. 1:10-cv-00740 (W.D. Tex.). The case was brought against John Jantzen, a registered securities broker, and his wife …

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