Tag: market timing

The Commission obtained a partial victory in a late trading and market timing case against Pentagon Capital Management Plc and its Chief Executive Officer, Lewis Chester. SEC v. Pentagon Capital Management Plc., Case No. 1:08-cv-03324 (S.D.N.Y. Filed April 3, 2008). …

ANOTHER SPLIT DECISION FOR THE SEC Read More »

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The SEC prevailed in the Second Circuit Court of Appeals, securing the reversal of an order dismissing its claims against the portfolio manager of a mutual fund and the chief operating officer of the fund’s investment adviser. SEC v. Gabelli, …

THE SEC WINS REVERSAL IN THE SECOND CIRCUIT Read More »

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