Insights
June 12, 2014
The SEC will begin filing some insider-trading cases in an in-house court rather than federal court, despite protestations by defense attorneys arguing that this would be an unfair shift from past pra...
June 11, 2014
Michael Baron, a former senior editor at TheStreet Inc. has agreed to pay $10,225 to resolve claims that he participated in an insider trading ring involving a group of high school friends according t...
June 10, 2014
On Friday, June 6, a federal jury in California found the founder of STEC Inc., a storage device maker, not guilty on insider trading charges. This was the second insider trading case lost by the SEC ...
June 9, 2014
Bitcoin entrepeneur Erik Voorhees will have to pay more than $50,000 to settle a case in which the SEC charged him with failing to register a stock option. The SEC stated that Voorhees published prosp...
June 6, 2014
Last month, the US Court of Appeals for the Second Circuit issued a summary order in SunTrust Banks, Inc. et al. v. Turnberry Capital Management LP , 13-CV-2075 (2d Cir., May 15, 2014), which was a ca...
June 5, 2014
Two former executives of ArthroCare, a surgical device manufacturer, have been convicted for their roles in a securities fraud that cost investors more than $400 million, having been found guilty by a...
June 4, 2014
FINRA announced today that is has fined Barclays Capital Inc., Goldman, Sachs & Co., and Merrill Lynch, Pierce, Fenner & Smith, Inc. $1 million each for failing to provide complete and accurat...
June 3, 2014
Golfer Phil Mickelson and Las Vegas gambler Billy Walters made several million dollars in 2011 trading call options in shares of Clorox days before billionaire Carl Icahn announced an unsolicited bid ...
June 2, 2014
Earlier this month, the SEC secured a huge win in SEC v. Wily , but on the same day the SEC was handed a crushing defeat in a bigger case, SEC v. Graham . Furthermore, a jury in Manhattan on Friday re...
May 30, 2014
On May 15, the SEC filed a complaint against Behrooz Sarafraz in California federal court, alleging that Sarafraz violated federal securities laws by acting as an unregistered broker dealer, selling s...
May 28, 2014
The SEC recently denied a whistleblower claimant a Commission enforcement action award because the claimant did not file the award claim with the SEC’s Office of the Whistleblower timely. The Se...
May 27, 2014
Plaintiffs in a new class-action suit claim that the financial advisers hired to oversee a proposed merger of oil and gas companies Forest Oil and Sabine Oil & Gas did not have the best interests ...
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