Month: September 2014

Traditionally, the SEC has brought insider trading cases as civil injunctive actions. The recent emphasis on administrative proceedings, however, appears to be changing that. Earlier this week the agency brought an insider trading cases as an administrative proceeding against a …

SEC Insider Trading Cases as Administrative Proceedings – A New Trend? Read More »

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Analysts reports frequently move the market and are thus considered inside information prior to publication. That is the predicate for an SEC administrative proceeding which charges a Wells Fargo analyst and trader with insider trading. In the Matter of George …

SEC Charges Wells Fargo Analyst, Trader With Insider Trading Read More »

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