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Year: 2017

Posted on by T. Gorman Posted in SECActions

Recently installed Chairman Jay Clayton delivered his first remarks this week, outlining his views for moving forward. The Chairman emphasized IPOs, market structure, assessing the impact and cost of regulations and cyber security. SEC Enforcement brought four civil injunctive actions …

This Week In Securities Litigation (Week ending July 14, 2017) Read More »

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Posted on by T. Gorman Posted in SECActions

Trying to cover-up illegal conduct can, and usually does, make the situation worse. A research engineer who used material non-public information obtained from his attorney wife to trade in advance of two acquisitions while researching how to evade detection for …

Insider Trading, Research on Evading Detection Yields SEC, DOJ Charges Read More »

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