Year: 2015

The Manhattan U.S. Attorney announced the filing of motions to dismiss the insider trading conviction of Michael Steinberg, formerly a portfolio manager at SAC Capitol, and six others in the wake of the Second Circuit’s decision in Newman. SEC released …

This Week In Securities Litigation (Week ending October 23, 2015) Read More »

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Self-dealing and undisclosed conflicts are a central theme of many of the enforcement actions brought recently by the SEC. Those themes are the predicate for the Commission’s action which centers on an investment manager who controlled a group of entities …

Another SEC Offering Fraud Centered On Conflicts Read More »

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