On June 21, 2019, in United States v. Lee, Judge Paul G. Gardephe of the U.S. District Court for the Southern District of New York issued an order vacating the guilty plea of a former investment portfolio analyst, Richard...more
6/28/2019
/ Confidential Information ,
Evidence ,
Guilty Pleas ,
Insider Trading ,
Investment ,
Investment Management ,
Personal Benefit ,
SAC Capital ,
Vacated ,
White Collar Crimes ,
Yahoo!
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
1/13/2017
/ Administrative Law Judge (ALJ) ,
Administrative Proceedings ,
Appointments Clause ,
Article II ,
Audits ,
Best Buy ,
C&DIs ,
Class Action ,
Class Certification ,
Compensation & Benefits ,
Confidential Information ,
Constitutional Challenges ,
Consumer Financial Protection Bureau (CFPB) ,
Dirks v SEC ,
Disclosure Requirements ,
Dodd-Frank ,
Enforcement Actions ,
Financial Institutions ,
Food and Drug Administration (FDA) ,
Form 10-K ,
Form 8-K ,
Fraud-on-the-Market ,
Halliburton v Erica P. John Fund ,
Illegal Tipping ,
Insider Trading ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Janus Capital Group ,
Jurisdiction ,
Loss Causation ,
Mergers ,
Merrill Lynch v Manning ,
Misleading Impressions ,
Omnicare v Laborers District Council ,
Pensions ,
Personal Benefit ,
Pfizer ,
Pharmaceutical Industry ,
PHH Corp. v CFPB ,
Prescription Drugs ,
Regulation S-K ,
Removal For-Cause ,
RESPA ,
Sanofi ,
Securities ,
Securities Fraud ,
Securities Litigation ,
Securities Violations ,
Short Selling ,
Statute of Limitations ,
Stock Prices ,
Unions ,
US v Newman ,
US v Salman ,
Wells Notice ,
Whistleblower Protection Policies
Friends and relatives of corporate insiders who knowingly receive and trade on inside information now confront greater exposure for federal securities laws violations. On December 6, 2016, the Supreme Court held in United...more
12/9/2016
/ Confidential Information ,
Dirks v SEC ,
Financial Markets ,
Illegal Tipping ,
Insider Trading ,
Non-Public Information ,
Personal Benefit ,
SCOTUS ,
Securities Violations ,
Tippees ,
Tippers ,
US v Newman ,
US v Salman ,
White Collar Crimes