Month: September 2014

The Commission continued with broken windows this week. Twenty Rule 105 short selling cases were filed in a group. Last week another group of broken window type cases was filed based on the failure to file Form 4s and Schedule …

This Week In Securities Litigation (Week ending September 19, 2014) Read More »

High speed trading is a frequent topic of discussion in the securities markets. Books have been written about it such as Michael Lewis’ “Flash Boys” and Scott Patterson’s “Dark Pools.” Hearings have been held on Capitol Hill and SEC and …

SEC Institutes Proceeding Against High Speed Trader – But Not For Trading Read More »

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