Posts Tagged ‘ Securities and Exchange Act ’

Enforcement News: SEC Charges Biostatistician and His Consulting Company with Insider Trading

Jan 21 2026

By: Jeffrey M. Haber Section 10(b) of the Securities Exchange Act of 1934 (the “Exchange Act”) and Rule 10b‑5 promulgated thereunder prohibit trading securities on the basis of material nonpublic information through any …

Aug 11 2025

By: Jeffrey M. Haber On August 1, 2025, the Securities and Exchange Commission (“SEC”) announced (here) that it charged a Wisconsin resident and three limited liability companies that he owns and …

U.S. Supreme Court Rules That A Person Who Disseminates the Misstatements of Another Can Be Liable Under the Federal Securities Laws

Apr 1 2019

In June of 2018, this Blog wrote about the United States Supreme Court’s decision to grant certiorari in a case concerning the scope of investor protection laws. (Here.) In Lorenzo …

Posts Tagged ‘ Securities and Exchange Act ’

Enforcement News: SEC Charges Biostatistician and His Consulting Company with Insider Trading

Enforcement News: SEC Charges Wisconsin Resident and The LLCs That He Owns and Controls with Perpetrating a Real Estate Affinity Fraud

U.S. Supreme Court Rules That A Person Who Disseminates the Misstatements of Another Can Be Liable Under the Federal Securities Laws