Under former Chairman Harvey L. Pitt, the SEC in October 2001 issued a Section 21(a) report which outlined the factors taken into account in evaluating cooperation with enforcement investigations. Much has been written about the standards for cooperation. In this …
Year: 2006
Insider Trading Ring Targeting Merrill Clients and Business Week Revealed
A complaint (“criminal complaint”) filed in the United States District Court for the Southern District of New York on April 11, 2006 to obtain an arrest warrant details the operations of an insider trading ring which engaged in two schemes …
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