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Posted on by T. Gorman Posted in SECActions

Insider trading and microcap fraud actions were the focus of SEC Enforcement this week. The Commission filed two insider trading actions. One involved a spouse who misappropriated inside information about the acquisition of Whole Foods, Inc. by Amazon, Inc. A …

This Week In Securities Litigation (Week ending April 12, 2019) Read More »

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Posted on by T. Gorman Posted in SECActions

Questions regarding the validity of SEC ALJs continue to be a key focus for SEC enforcement. The Tenth Circuit concluded that the retention of SEC ALJs violated the Constitution’s Appointment Clause, setting up a potential conflict in the circuits that …

This Week In Securities Litigation (Holiday edition – period from December 23, 2016 to January 6, 2017) Read More »

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