The SEC and DOJ have long prioritized insider trading prosecutions. Moreover, insider trading cases frequently involve parallel investigations in which the SEC and DOJ share information and coordinate efforts to collect...more
2/26/2020
/ Civil Liability ,
Criminal Investigations ,
Criminal Prosecution ,
Department of Justice (DOJ) ,
Enforcement Authority ,
Federal Agency Taskforce ,
Information Reports ,
Insider Trading ,
Legislative Agendas ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Violations ,
Willful Violations
In a ruling handed down on Tuesday, a Southern District of New York judge ordered the U.S. Attorney’s Office for the Southern District of New York (“USAO”) to submit a full account of their communications with the SEC after...more
6/21/2019
/ Affidavits ,
Criminal Conspiracy ,
Criminal Investigations ,
Criminal Prosecution ,
Due Process ,
Intent to Defraud ,
Investment Adviser ,
Investors ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
U.S. Attorney ,
Wire Fraud