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Administrative Law Judge (ALJ) Illegal Tipping

Burr & Forman

Split Commission Can't Reverse Insider-Trading Dismissal

Burr & Forman on

Trader Joseph Ruggieri finally prevailed last week, when SEC Commissioners Stein and Piwowar split on whether Enforcement proved his four trades (in 2010-2011) were made on inside information....more

Cadwalader, Wickersham & Taft LLP

2016 Year In Review: Securities Litigation And Regulation

2016 was an active year in securities litigation. In the first half of 2016 alone, plaintiffs filed 119 new federal class action securities cases. It was also a busy year for SEC enforcement proceedings, with a record 868...more

Dorsey & Whitney LLP

SEC ALJ Dismisses Insider Trading Claims Based on Dirks-Newman

Dorsey & Whitney LLP on

When the Second Circuit handed down Newman the SEC joined with the Manhattan U.S. Attorney seeking rehearing en banc and arguing that the case would significantly hinder insider trading enforcement. Many wondered if the...more

Dorsey & Whitney LLP

SEC ALJ: No Sanction For Compliance Official Who Violated Statute

Dorsey & Whitney LLP on

Amid all the concern regarding the selection by the SEC of an administrative rather than a district court forum for brining agency enforcement action comes a decision which has the potential to change the tenor of the debate,...more

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