Month: March 2016

The SEC filed its first action against a municipal adviser for breach of fiduciary duty based on a provision amended by Dodd-Frank. The agency also continued to file insider trading actions in an administrative forum. Other actions filed by the …

This Week In Securities Litigation (Week ending March 18, 2016) Read More »

Tagged with: , , , ,

The SEC filed another settled insider trading action as an administrative proceeding. The Commission has increasingly been filing insider trading cases in an administrative forum this year. In the Matter of Eric J. Wolff, Adm. Proc. File No. 3-17173 (March …

SEC Files Another Insider Trading Administrative Proceeding Read More »

Tagged with: , ,