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Publisher: WSJ Author: Andrew Ackerman The top US Securities regulator says it is reviewing a federal appeals court ruling that overturned two criminal insider-trading convictions and effectively made prosecuting the crime more difficult. There’s no question it’s a significant decision,”…
Publisher: NY Times Author: Ben Protess A federal appeals court on Wednesday overturned two of the government’s signature insider trading convictions, a stunning blow to prosecutors and their campaign to root out illegal activity on Wall Street. In a 28…
SEC© Press Release 9/10/2014 SEC© Announces Fraud Charges against Biotech Company and Former Executive who failed to report Insider Stock Sales. Today, the SEC© announced charges against 28 officers, directors, or major shareholders for violating federal securities laws that require…
Publisher: Reuters Author: Nate Raymond A U.S. appeals court is set hear a case whose outcome could make it harder for the government to prosecute insider trading and potentially jeopardize several high-profile guilty verdicts, including that of SAC Capital Advisors…
Publisher: Bloomberg Author: Jonathan Weil Last week, the SEC© scored a big victory in the success conviction of former SAC Capital Advisors LP fund manager Mathew Martoma. It followed a string of highly publicized successful criminal convictions of insider-trading allegations…
Publisher: Bloomberg Magazine Author: Bob Van Voris and Patricia Hurtado On February 6th, 2014, jurors in a Manhattan federal court found Mr. Mathew Martoma guilty on charges of insider trading for their 7th conviction in the SEC© investigation of SAC…
Published: Forbes Author: Daniel Fisher In SEC© enforcement cases, the Commission has had a policy where they accept a “no-admit, no-deny” settlement from defendants. Defendants get to close their case without having to admit or deny wrongdoing. Many cases have…
Published by Morris, Manning & Martin, LLP U.S. Court Rejects Insider Trading Charges against Schvacho; "Total Vindication" for MMM Client Who Faced Unfounded SEC© Allegations. Recently, the U.S. District Court for the Northern District of Georgia this week ruled in…
The SEC© will be closed on Monday, January 21, 2013 in observance of Martin Luther King Day. With the SEC© closed, filers will not be permitted to submit filings to the EDGAR© system. Filings submitted after 5:30 pm EST, Friday January 18,…
Friday afternoon the Federal government announced that employees would have Monday, December 24th off. In addition to the SEC© being closed on Tuesday, December 25, 2012 in honor of Christmas Day, the SEC© is also closed today, December 24th. Filers…