Trading securities depends in part on obtaining pertinent, accurate information about the investment in a timely fashion. In contrast, having false or incomplete information can cause a misjudgment to be made. If such information becomes part of the mix of…

Manipulation is one of the Commission’s long time focal points for enforcement. The reason is obvious – manipulation distorts the price and the market. Despite this focus by the agency and a multitude of cases, manipulation continues to be a…

The Commission prevailed on a motion for summary judgment in a manipulation case. The agency also filed a new case tied to trading based on in follow-on transactions. It also resolved six pending enforcement cases. Acting Chairman Uyeda announced the…

This is the week of the “final Judgement” – that is, all of the litigation releases announced this week were for a final judgment entered in an enforcement action except for one case which was discussed in an earlier post.…

Inside information is something that many tend to think of only in the classic insider trading model — participants in a merger or other non-public corporate transaction trading in the company shares prior to the deal announcement. Most do not…

This Week In Securities Litigation (Week of February 3, 2025) The Commission filed three new cases last week. Two centered on offering frauds while a third centered on a remote trader in an insider trading case. Be careful, be safe…

Year after year the SEC appears to be successful in regulating and governing the U.S. securities markets. Those markets are immense, complex and most difficult to regulate. Yet year after year the Commission has overall been effective in safeguarding investors…