Year: 2016

The Manhattan U.S. Attorney’s Office and the SEC continued their war on insider trading with additional actions against portfolio managers. In their most recent cases they allege that the two traders obtained inside information from consultants who retained contacts that …

USAO, SEC Charge Insider Trading Based on FDA/CMS Information Read More »

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The SEC has been focusing on municipal bond offerings, filing a series of enforcement actions. An action brought this week is the first, however, based on the Dodd-Frank fraud section related to municipal advisers. The action center on the use …

SEC’s First Action Based On Dodd-Frank Muni Adviser Fraud Section Read More »

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