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Negligence

You Can Settle Your Insider Trading Case with a Negligence-based Charge | Cady Bar the Door

By on July 23, 2015, 6:43 pm

This is almost certainly not true anymore.  But it was true once!  Maybe only once…. via You Can Settle Your Insider Trading Case with a Negligence-based Charge | Cady Bar the Door

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To Err Is Human . . . and Punishable by the SEC

To Err Is Human . . . and Punishable by the SEC

By on November 2, 2011, 11:11 am

Will agency now pursue more cases against people who make merely negligent mistakes?

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SEC Changes Tack on Enforcement Strategy

SEC Changes Tack on Enforcement Strategy

By on September 30, 2011, 1:09 am

SEC may file more civil cases in which defendants are accused of negligence only.

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Case Against SEC for Madoff Negligence Dismissed

Case Against SEC for Madoff Negligence Dismissed

By on April 23, 2010, 5:06 pm

Court rules SEC’s conduct was “discretionary.”

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