Year: 2016

The SEC partially settled what is perhaps one of its more unusual insider trading cases. It involved defendants who posed as portfolio managers who then induced investment bankers to entrust them which inside information that was then used to trade. …

SEC Partially Settles “Portfolio Manager” Insider Trading Case Read More »

Tagged with: ,

The Commission filed two administrative proceedings this week. One centers on false entries made in the books and records of a broker dealer. It will be set for hearing. In the Matter of Jason Maiher, Adm. Proc. File No. 3-17126 …

SEC Files Financial Fraud and Unregistered Securities Actions Read More »

Tagged with: , , ,