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SEC

Dec 10, 2014

Appeals court deals blow to US in insider trading cases

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.

Sep 2, 2014

Insider trading case dismissed in Milwaukee

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

May 19, 2014

Stay no longer a certainty in joint SEC investigations

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.

Dec 9, 2013

Measuring the SEC whistleblower program success, 2 years in

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

Sep 16, 2013

What you need to know in advance of next week’s SEC rule change

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

Aug 16, 2013

SEC says Anchor BanCorp settling fraud lawsuit

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.

May 22, 2013

BEV BUTULA: Searching SEC contracts just got easier

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

Feb 5, 2013

Nichols is all business

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.

Jun 21, 2012

Gehl takes a classic, yet unconventional path

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

May 2, 2012

Civil Procedure — mootness

11-3083 Tara Gold Resources Corp. v. SEC

May 1, 2012

Civil Procedure — contempt

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

Mar 22, 2012

SEC ramps up corporate enforcement

The Securities and Exchange Commission is ready for battle.

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