Prior to the filing of these seven cases the SEC rarely brought insider trading actions as administrative proceedings. While it is true that the Dodd-Frank Act added remedies to the Commission’s arsenal that were not previously available, that statute was signed into law in 2010. The filing of these seven settled insider trading cases traces to September of 2014, four years after the enactment of Dodd-Frank.
‘Enforcement 40’ for 2020
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