Last week, a federal judge in the SDNY entered a final judgment against Edwin “Bucky” Lyon, IV, and various Gryphon Partners entities in an SEC insider trading case. The case, filed back in December 2006, is part of the SEC’s ongoing campaign against insider trading by hedge funds in connection with PIPE (“private investment in public equity”) offerings. Full details are available in this post on my Enforcement Action blog over at Compliance Week.
‘Enforcement 40’ for 2020
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