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Today, SEC Administrative Law Judge Jason S. Patil dismissed an insider trading case against a former Wells Fargo trader. Judge Patil found that the SEC failed to prove that the person who allegedly tipped the trader did so for a personal benefit, as required by the Second Circuit’s disruptive opinion in U.S. v. Newman. via […]
The SEC’s interpretation of the Dodd-Frank whistleblower provisions prevailed in a recent Second Circuit decision, creating a circuit split that could be heading for the Supreme Court. Specifically, the Circuit Court deferred to the SEC’s interpretation of the provisions under which whistleblowers are protected from retaliation, finding that even if the whistleblower has not reported […]
I have just released a new article discussing the sentencing of Jordan Belfort, better known as the “Wolf of Wall Street.” I use this case as a mechanism for considering how white collar sentencing has evolved from the 1980s until today. In particular, the article examines the growth in uncertainty and inconsistency in sentences received […]