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Monthly Archives: January 2020

Insider Trading: Historic US House Bill Would Clarify What It Is And When It Is Illegal

2019 Year-In-Review Part 3 For many years, it has been axiomatic that insider trading is illegal.  However, what exactly insider trading is and how to define it has caused some difficulty and conflict among the courts. In large part that is because -- believe it or not -- there is no federal statue actually defining [...]

January 15th, 2020|Uncategorized|

US Senate & House Take Up SEC Disgorgement After Kokesh: 2019 Year-In-Review Part 2

 Congress took up SEC disgorgement during 2019 In today’s post, I discuss certain developments in 2019 that concern the continued viability of SEC disgorgement as a remedy against securities law violators. These 2019 developments are of great relevance to both SEC defendants and SEC whistleblowers alike, and are worth following as we head into 2020. For decades [...]

January 6th, 2020|Uncategorized|