Investment advisers have become a primary focus of Commission enforcement actions in recent years. The trend began several years ago and continues. Now each year cases involving investment advisers are one of the largest categories of cases brought by the …
Month: February 2021
The Deal Target Got Away; the Trading Executive Did Not
Insider trading has long been a key focus of the Commission’s enforcement program. In recent months interest seems to have shifted to offering fraud cases and those involving microcap securities. Yet Commission’s most recent insider trading cases is classic, almost …
The Deal Target Got Away; the Trading Executive Did Not Read More »