Tag: Insider trading

The debate at the Commission as July sizzled to a close is over complex products. The agency has brought enforcement actions in this area when investors purchased complex products recommended by a market professional and the firm’s policies and procedures …

This Week In Securities Litigation (August 1, 2022) Read More »

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Insider trading has been a key focus of SEC enforcement in recent months. This is consistent with the historical approach to enforcement by the agency over the years. In recent weeks, however, the agency appears to have become more aggressive …

Former Congressman Charged with Insider Trading Read More »

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