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Year: 2018

Posted on by T. Gorman Posted in SECActions

The Commission filed a series of cases this week which included: an action against a town attorney involved in 26 muni bond offerings in which critical financial information was concealed; another action involving a registered broker-dealer and investment adviser that …

This Week In Securities Litigation (Week ending March 2, 2018) Read More »

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Posted on by T. Gorman Posted in SECActions

Some corporate insiders make the mistake of trading while in possession of material non-public information. Others compound the error by lying to the SEC staff during an ensuing investigation. Yang Xie, formerly an employee at a pharmaceutical company, traded minutes …

SEC Settles Insider Trading Case With Corporate Insider Read More »

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