A federal appeals court dealt a blow to the government's success in insider trading prosecutions Wednesday by reversing two convictions with a decision that also jeopardizes a third — and attempts to further define how far prosecutors can push the law in their quest to clean up Wall Street.

Tagged with: SEC

An insider trading case against a former Heartland Advisors executive has been dismissed.

Tagged with: Charles Clevert SEC

White-collar lawyers say gone are the days when a civil suit brought by the Securities and Exchange Commission is stayed simply because the U.S. attorney is prosecuting a parallel criminal case.

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August marked the second anniversary of the implementation of the Securities and Exchange Commission whistleblower program.

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New Securities and Exchange Commission rules that go into effect Sept. 23 offer benefits, but require additional duties for securities issuers.

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The U.S. Securities and Exchange Commission says a tentative settlement has been reached in a civil lawsuit accusing Anchor BanCorp Wisconsin and its former chief financial officer of fraud.

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A new website launched last week that allows researchers to search SEC contract filings.

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Tom Nichols, most often an advisor and transactional attorney, ventured into litigation in 2004 on behalf of a long-term client facing insider-trading charges brought by the SEC.

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An undergraduate interest in the classics led Carol Gehl to a career in securities law.

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11-3083 Tara Gold Resources Corp. v. SEC

Tagged with: 7th Circuit Digest Civil Digest Civil Procedure Digest Mootness SEC

11-1702 SEC v. First Choice Management Services, Inc.

Tagged with: 7th Circuit Digest Civil Digest Civil Procedure Digest contempt SEC

The Securities and Exchange Commission is ready for battle.

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If you want something done right, get someone else to do it. That seems to be the federal government’s mantra of late with respect to enforcement of the securities laws.

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KIMBERLY, Wis. (AP) – An investment firm accused of misconduct for selling risky investments to five Wisconsin school districts has agreed to pay them about $30 million. The Securities and Exchange Commission announced the settlement between RBC Capital Markets and ...

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By MARCY GORDON AP Business Writer WASHINGTON (AP) — Federal regulators are accusing brokerage firm Stifel Nicolaus & Co. of civil fraud in its sales of risky complex investments to five Wisconsin school districts that lost all of the $200 ...

Tagged with: fraud SEC Securities and Exchange Commission

By DANIEL WAGNER AP Business Writer WASHINGTON (AP) — JPMorgan Chase & Co. has agreed to pay $211 million after admitting one of its divisions rigged dozens of bidding competitions to win business from state and local governments. J.P. Morgan ...

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Whistleblower cases are long and difficult, but attorneys may soon bring more of them due to expanded options laid out in a new law that takes effect this month.

Tagged with: False Claims Act Nola Hitchcock Cross SEC Securities and Exchange Commission