Tag: insider dealing

SEC enforcement brought another insider trading action this week in addition to a case alleging a manipulation, one claiming violations of Regulation M, Rule 105 and one alleging a failure to supervise. The Manhattan U.S. Attorney’s Office secured another guilty …

This Week In Securities Litigation (Week ending July 27, 2012) 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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