Month: October 2017

Insider trading was a key focus this week. The Commission brought three cases, one involving a doctor tipped by a friend at the company; a second involving a going private transaction were a tip from an insider to his long …

This Week In Securities Litigation (Week ending October 6, 2017) Read More »

Tagged with: , , ,

The Commission and the Manhattan U.S. Attorney’s Office have brought a number of pay-to-play cases involving pension funds. In one involving the third largest public pension fund in the country uncovered by the SEC, Deborah Kelley, a former managing director …

Former Broker Sentenced in Pay-to-Play Scheme Read More »

Tagged with: , ,