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Join the Securities Litigation and Enforcement Group on LinkedInDecades Later, the Law of Insider Trading Remains Elusive and Undefined | Compliance Week
Despite numerous opportunities to define insider trading going back as far as 1969, Congress has been either unwilling or unable to provide such a definition. The current court battle going on in the U.S. v. Newman insider trading case has led to renewed calls from Mark Cuban and others for Congress to finally act. via […]
SEC challenged over use of in-house judges – FT.com
The latest complaint seeks SEC documents that could help shed light on what critics say is the special treatment reserved for judges who preside over the agency’s administrative proceedings, which have been used to bring cases against SAC Capital founder Steve Cohen, the Big Four accounting firms and large banks like Wells Fargo. via SEC […]
In Corporate Crimes, Individual Accountability Is Elusive – NYTimes.com
Professor Garrett analyzed 303 nonprosecution and deferred prosecution agreements with corporations from 2001 to 2014 in which companies avoided guilty pleas by paying fines and agreeing to other measures. It would seem axiomatic that in all of those cases, individuals actually committed the crimes, since corporations are legal entities and can’t be charged unless their […]
Securities Docket News Wire for February 19, 2015
Get caught up with the Securities Docket News Wire for February 19, 2015.