When Small Insider Trading Profits Yield a Max Penalty
Insider trading has long been a key component of the Commission’s enforcement program. Yet over the years the exact theory being employed has varied. Nevertheless, the core theory has remained constant – using inside information for personal benefit in connection …
When Small Insider Trading Profits Yield a Max Penalty
Read More »
Last week the Commission filed five new cases: Three were offering fraud actions; one centered on a boiler room; and the final case involved insider trading. Be careful, be safe this week. SEC Decision: National Association of Private Fund Managers …
This Week In Securities Litigation (Week of June 17, 2024) Read More »