Tag: breach of fiduciary duty

Insider trading is generally predicated on deception of the company and its shareholders or the source of the information. The SEC and the DOJ typically charge insider trading as a violation of Exchange Act Section 10(b). That antifraud section is …

Insider Trading: A Theory In Search of A Statutory Base? Read More »

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The SEC filed an action against a Texas and Mexico based unregistered investment adviser, Jorge Gomez, charging that he misappropriated millions of dollars from one client. The Commission’s complaint also named as a defendant the broker and investment adviser for …

COMMISSION NAMES ADVISER AND FINDER IN FRAUD ACTION Read More »

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