Month: January 2016

Gatekeepers are a critical focus for SEC enforcement. Lawyers, accountants and other professional are often at the scene and, in many instances, can be either key to halting, or in some instances implementing a wrongful scheme. The latter is clearly …

SEC: Gatekeeper Facilitates Unlawful Stock Sales Read More »

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Open market manipulation cases present difficult issues regarding what constitutes market manipulation. Regulators, such as the SEC, CFTC and FERC, tend to focus on the element of intent. Defendants frequently argue that the transactions claimed to be manipulative are lawful …

The CFTC, SEC and Market Manipulation Read More »

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