Year: 2016

The Commission filed a series of actions this week which included: three cases based on insider trading; an accounting action against a company and its employees; an audit failure; the unregistered sale of securities; and the sale of non-existent securities. …

This Week In Securities Litigation (Week ending February 12, 2016) Read More »

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The SEC filed another settled insider trading case. In the Matter of Abdallah Fadel, Adm. Proc. File No. 3-17111 (February 10, 2016). While the case is straight forward, what may be of interest is the fact that it is the …

Another SEC Insider Trading Case As An Administrative Proceeding Read More »

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