Like most of the rest of the world, the speakers and attendees at Securities Enforcement Forum West 2020 last week had to adapt this year by trading in their microphones on the stage of a grand ballroom for an array of home...more
5/20/2020
/ Accounting Fraud ,
Artificial Intelligence ,
Coronavirus/COVID-19 ,
Cryptocurrency ,
Cybersecurity ,
Disclosure ,
Enforcement Actions ,
Insider Trading ,
Machine Learning ,
Popular ,
Private Company Shares ,
Securities and Exchange Commission (SEC)
A recent court decision holding that employees can claim the Fifth Amendment and refuse to unlock password-protected smartphones, even though the phones were issued by their employer for company business, demonstrates the...more
On December 10, 2014, the U.S. Court of Appeals for the Second Circuit reversed insider trading convictions against two former hedge fund managers, and in the process sharply limited two key doctrines underpinning many recent...more
12/16/2014
/ Dell ,
Hedge Funds ,
Illegal Tipping ,
Insider Trading ,
Material Nonpublic Information ,
NVIDIA ,
Personal Benefit ,
Portfolio Managers ,
Rule 10b-5 ,
Securities ,
Securities Fraud