Tag: father and son

Keeping it in the family is a recurring theme in SEC insider trading cases. Recently the Commission has brought insider trading cases against a father and son, SEC v. Perterson, Civil Action No. 11-CV-5448 (S.D.N.Y. Filed Aug. 5, 2011), a …

A FATHER AND SON INSIDER TRADING CASE INVOLVING ETFs Read More »

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The Commission brought a significant market crisis case this week, centered on the sale of complex, high risk financial instruments to unsophisticated school districts which ended in millions of dollars in losses. Insider trading was a key focus for the …

THIS WEEK IN SECURITIES LITIGATION (August 12, 2011) Read More »

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