‘Enforcement 40’ for 2020
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By Securities Docket on June 17, 2022, 11:38 am
Regular readers of this blog know that class action securities fraud lawsuits almost never go to trial. But “almost never” is not the same as “never.” Every now and then, there is an unusual case that does go to trial. This past week, a federal court jury reached a verdict in one of those rare […]
By Securities Docket on September 24, 2019, 7:56 am
The second time isn’t a charm for Sean Stewart. The former managing director of Perella Weinberg Partners was convicted of insider trading for leaking information to his father, on Monday. The trial was the second time Stewart’s case has been heard in court, and the second time he’s been found guilty. The jurors deliberated for […]
By Securities Docket on August 15, 2019, 8:49 am
Today, jurors in Atlanta federal court returned a verdict finding New Jersey securities broker Raymond J. Pirrello, Jr. liable for insider trading in advance of three merger and acquisition transactions. via SEC Wins Jury Trial Against Broker Charged with Insider Trading.
By Securities Docket on June 9, 2014, 7:56 am
The Securities and Exchange Commission lost its second insider-trading trial in the space of seven days, when a federal jury on Friday cleared a former chief executive of a California chip maker via SEC Loses Second Insider-Trading Case in Seven Days – Law Blog – WSJ.
By Securities Docket on March 24, 2014, 3:32 pm
Five former employees of Bernie Madoff were found guilty on Monday of helping the imprisoned Ponzi schemer perpetrate the largest financial fraud in history. The defendants — two trading managers, two computer programmers and his firm’s director of operations — were found guilty of securities fraud and of conspiracy to defraud investors. via All Five Madoff […]
By Securities Docket on February 14, 2013, 3:33 pm
Five men found to have engaged in illegal insider trading in shares of Eveready Inc.
By Securities Docket on May 11, 2011, 3:05 pm
Rajaratnam found guilty of all 14 counts of securities fraud and conspiracy.
By Securities Docket on July 14, 2010, 4:13 pm
SEC loses battle against defendants but gains a crucial jurisdictional victory in derivatives area.
By Securities Docket on June 25, 2010, 2:43 pm
Lower court had previously thrown out jury verdict in 2008.