Tag: FINRA

The District Court rejected the proposed settlement of the Commission’s recent market crisis case against Citigroup. The ruling left the parties with the choice of either renegotiating the settlement and furnishing the Court with a factual predicate for the claims …

THIS WEEK IN SECURITIES LITIGATION (December 2, 2011) Read More »

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The Commission brought a series of high profile cases this week. Perhaps the most significant is the insider trading action brought in conjunction with the Manhattan U.S. Attorney against a former Goldman Sachs and Procter & Gamble director for allegedly …

THIS WEEK IN SECURITIES LITIGATION (October 28, 2011) Read More »

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