Year: 2015

The U.S. Attorney’s Office in Manhattan is trying to have the Second Circuit’s decision in U.S. v. Newman, No. 13-1837, 13-1917 (2nd Cir. Decided December 10, 2014 ) reheard and reversed. In seeking that rehearing the Government has argued in …

SEC Charges Tipping Without A Newman – Dirks Personal Benefit Read More »

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The SEC continued Operation Shell-Expel this week, suspending trading in the shares of 128 OTC issuers bringing its total for the program to about 8% of the shares traded in that market. The Commission also announced another whistleblower award, this …

This Week In Securities Litigation (Week ending March 6, 2015) Read More »

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