FCPA enforcement officials have repeatedly emphasized that they intend to focus on individuals as an effective means of halting possible violations. A
SEC v. All Know Holdings, Ltd., 11 C 8605 (N.D. Ill. Opinion issued June 10, 2013) is one of the SEC's aggressive insider trading actions, filed
The SEC charged the State of Illinois with misleading investors when selling about $2.2 billion in municipal bonds over a four year period beginning
The SEC filed another case tied to the market crisis and Bernard Madoff last week.
Cases involving the sale of unregistered securities and Ponzi schemes were among the leading categories of cases brought last year according to recent statistics from NERA Economic Consulting.
The SEC continues to be aggressive in brining insider trading cases, filing its latest action on “information and belief” and “suspicious trading.”
The former husband of Playboy CEO Christie Hefner, attorney William Marovitz, settled insider trading charges with the SEC.