‘Enforcement 40’ for 2020
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By Securities Docket on August 12, 2009, 12:22 pm
Last week, a federal judge in the SDNY entered a final judgment against Edwin “Bucky” Lyon, IV, and various Gryphon Partners entities in an SEC insider trading case. The case, filed back in December 2006, is part of the SEC’s ongoing campaign against insider trading by hedge funds in connection with PIPE (“private investment in public equity”) offerings.
By Securities Docket on October 23, 2008, 6:19 pm
Yes, the title of this post is a weak “Clue” reference, sorry. Earlier this week the SEC brought the latest in a growing string of “PIPE” (“private investment in public equity”) insider trading cases. I discuss these cases, including the recent case filed against Brian Ladin of the Bonanza Master Fund Ltd. hedge fund, in […]