Tag: false statement

An investment banker who repeatedly tipped his father on about pending mergers was found guilty of insider trading by a jury this week. The Commission brought another action based on the whistleblower protections where the firm’s severance agreements impinged on …

This Week In Securities Litigation (Week ending August 19, 2016) Read More »

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The Commission’s enforcement division and inspectors at OCIE continue to work closely and have developed a series of cases in recent months. One of the more unusual proceeding spawned through this relationship is the action involving a hedge fund, its …

SEC Charges Adviser With Fraud Tied to “Death Puts” Read More »

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