Year: 2017

This is the first segment of an occasional series regarding a group of criminal and civil securities fraud actions involving trading in opaque markets and the lessons that can be drawn the prosecutions Introduction The U.S. Attorney’s Office and the …

Trading in Opaque Markets: Fraud, Materiality and Compliance Read More »

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Former hedge fund manager and pharmaceutical executive Martin Shkreli was acquitted on five counts and convicted on three others under an indictment centered on conspiracy and securities fraud charges tied to three firms. U.S. v. Shkreli, No. 15-cr-637 (E.D.N.Y.). The …

Former Hedge Fund Manager Gets Split Jury Verdict Read More »

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