Tag: investment fund fraud

The Commission filed and insider trading case in tandem with the Manhattan U.S. Attorney’s Office against a father and son based on repeated trades in advance of deal announcements even after FINERA initiated an investigation this week. The agency also …

This Week In Securities Litigation (Week ending May 15, 2015) Read More »

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The debate over waivers WKSI waivers and other similar provisions continued this week. The Commission granted a WKSI waiver to Deutsche Bank despite a guilty plea to criminal felony charges but only over the dissent of Commissioner Stein. The agency …

This Week In Securities Litigation (Week ending May 8, 2015) Read More »

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