Month: January 2015

The trend of selecting administrative proceedings rather than Federal court by the SEC appears to be continuing. Since last September, for example, the SEC has filed at least seven insider trading cases as administrative proceeds. Previously, the agency typically brought …

SEC Files Prime Bank Fraud and Offering Fraud Actions as Administrative Proceedings Read More »

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The Second Circuit’s decision in U.S. v. Newman, Nos. 13-1837-cr. 13-1917-cr (2nd Cir. Dec. 10, 2014) continues to be the key focus in insider trading cases. There the Court held that remote tippees must not only know that the information …

USAO Wants Newman Insider Trading Case Reheard Read More »

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