deception – SEC ACTIONS

Insider Trading: A Theory In Search of A Statutory Base?

Posted on October 14, 2012 by T. Gorman Posted in SECActions

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 …

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Tagged with: breach of fiduciary duty, deception, Insider trading, secactions

JANUS, PRIMARY LIABILITY AND SCHEME LIABILITY

Posted on September 28, 2011 by T. Gorman Posted in SECActions

The distinction between primary and secondary liability has been repeatedly litigated in securities damage cases, and to a lesser extent in SEC enforcement actions, since the Supreme Court handed down its decision in Central Bank of Denver v. First Interstate …

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Tagged with: deception, Janus, Primary liability

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Insider Trading: A Theory In Search of A Statutory Base?

JANUS, PRIMARY LIABILITY AND SCHEME LIABILITY