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14 results found

Article

Dorsey & Whitney LLP | USA | 19 Mar 2014

SEC USAO halt serial insider trading ring despite concealment efforts

Trading repeatedly on inside information is likely to yield investigations by the SEC and the DOJ and charges by both even when steps are taken to

Article

Dorsey & Whitney LLP | USA | 24 Feb 2014

Market professional charged with insider trading by SEC USAO

Another market professional apparently chose to make a bad day worse. It is bad enough to be caught up and charged with insider trading in a civil SEC

Article

Dorsey & Whitney LLP | USA | 14 Feb 2014

Disgorgement and intervening causes in an SEC enforcement action

In SEC v. Teo, Case No. 12, 1168 (3rd Cir. Decided Feb. 10, 2014) the Court, in a two to one decision, considered a question regarding the

Article

Dorsey & Whitney LLP | USA | 28 Jan 2014

Second Circuit: insider trading duty is federal common law

The Second Circuit Court of Appeals concluded that an Exchange Act Section 10(b) claim for insider trading in a private damage action is based on

Article

Dorsey & Whitney LLP | USA | 15 Mar 2013

This week in securities litigation (week ending March 15, 2013)

Mary Jo White, selected by the President as the next Chairman of the SEC, testified in her confirmation hearings before a Senate Committee this week

Article

Dorsey & Whitney LLP | USA | 13 Mar 2013

Corporate executive settles SEC insider trading case

The Commission filed a settled insider trading case against a corporate executive who traded in advance of a tender offer while in possession of

Article

Dorsey & Whitney LLP | USA | 31 Aug 2012

This week in securities litigation (week ending August 31, 2012)

As summer draws to a close, the Commission continued its work under Dodd-Frank, issuing a staff study on financial literacy.

Article

Dorsey & Whitney LLP | USA | 7 May 2012

A daughter and father insider trading ring

Many insider trading cases turn out to be “all in the family,” involving various family members who have access to, and trade on, inside information.

Article

Dorsey & Whitney LLP | USA | 22 Mar 2012

Criminal and civil insider trading cases

In the Griggs insider trading case discussed yesterday, defendant Noah Griggs, Jr. ended his career by trading in the shares of his company prior to its acquisition.

Article

Dorsey & Whitney LLP | USA | 6 Sep 2011

Another family and friends insider trading ring

The SEC continued its war on insider trading, bringing another “family and friends” insider trading action.

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