Securities

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SEC Partially Settles Insider Trading Action Based on Gift to Romantic Partner
Posted on 3 Nov 2015 by Thomas O. Gorman

The SEC filed an insider trading action in which the tipper partially settled the action. While the complaint alleged that the tippee knew of the breach of duty and that the information was gifted to him by his romantic partner, he did not settle. SEC... Read More

The Second Circuit Defines Tippee Liability and the Personal Benefit Test
Posted on 11 Dec 2014 by Thomas O. Gorman

Todd Newman and Anthony Chiassons, remote tippees, three to four steps removed from the source of the inside information about pending earnings announcements for Dell, Inc. and NVIDIA, were convicted of insider trading. In reviewing their convictions... Read More

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