Christopher Poe

Christopher Poe

Brooks Pierce

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Second Circuit Limits Insider Trading Law for Remote Tippees

Matt Levine is a big jerk. He just sits there at Bloomberg following events in finance and securities enforcement, and then writes interesting things about those events really quickly and with insight that no one else has...more

12/12/2014 - Appeals Dell Indictments Insider Trading Material Nonpublic Information Nvidia Reversal SEC US v Newman

JPMorgan Chase Admissions May Be Less Than Meet the Eye

Drama continues with JPMorgan Chase’s London Whale trades. For the few who don’t remember, the debacle emerged early last year, when trader Bruno Iksil, now known as the “London Whale,” lost a then-estimated $2 billion as a...more

9/23/2013

SEC Charges Indian Firms with Acting as Unregistered Broker-Dealers

On November 27th, the SEC charged four Indian financial services firms with acting as unregistered broker-dealers in the United States....more

1/8/2013 - Broker-Dealer Enforcement Enforcement Actions India Registration SEC

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