Year: 2014

Todd Newman and Anthony Chiassons, remote tippees, three to four steps removed from the source of the inside information about pending earnings announcements for Dell, Inc. and NVIDIA, were convicted of insider trading. In reviewing their convictions for insider trading, …

The Second Circuit Defines Tippee Liability and The Personal Benefit Test Read More »

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In late September the SEC filed a settled insider trading case against an associate of an unregistered investment adviser. In the Matter of Richard O’Leary, Adm. Proc. File No. 3-16166 (September 25, 2014). The next week the agency filed another …

Forum Selection For SEC Cases – District Court or Administrative Proceeding? Read More »

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