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‘Enforcement 40’ for 2020
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Settling SEC Defendants Never ‘Admit’ Wrongdoing But They Sometimes Later ‘Deny’ It
Defendants continue to deny wrongdoing in SEC cases after the ink dries on their settlements.
Paperwork Dotted with Legal-Sounding Gibberish
Whenever you hear about a “prime bank” investment opportunity, walk away.
When Is an SEC Investigation a “Claim” for Purposes of D&O Coverage?
When does a specific investigatory action fall within a D&O policy’s definition of a “claim?”
Falcone’s Harbinger Capital Gets SEC ‘Wells Notice’
Harbinger Capital discloses “Wells Notices” from the staff of the SEC.
Securities Docket News Wire for Dec. 9, 2011
Get caught up with the Securities Docket News Wire for Dec. 9, 2011.
Walz’s insider trading bill for Congress hits roadblock
House Majority Leader Eric Cantor cancels planned vote on STOCK Act.
Canada: Mining firm’s execs face insider trading charges
Chairman of Grande Cache Coal Corp. says company will “vigorously” defend CEO, executive team members against insider trading charges.
Accused trader admits guilt in insider case
Trader Garrett Bauer pleads guilty to participating in insider trading scheme involving information from corporate lawyer.