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Scarinci Hollenbeck remains committed not only to providing top-tier legal services but also to regularly providing information and resources to our client base and internet following. Client Alerts provided by our attorneys supply businesses, municipalities, and more with the latest and relevant legal updates that may impact them and how they might be able to proceed.

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U.S. v Newman Insider Trading Case Awaits SCOTUS Review

Growing Circuit Split Over United States v Newman Insider Trading Case In convicting a Massachusetts attorney of insider trading, the First Circuit Court of Appeals declined to impose the higher standard established by the Second Circuit in the United States v. Newman insider trading case. The decision adds to the circuit split regarding insider trading cases, which […]

Author: Dan Brecher

June 27, 2016

Mickelson Case Reflects Insider Trading in the Wake of Newman

What does the Mickelson case reveal about insider trading? Professional golfer Phil Mickelson was recently named in an insider trading case involving sports gambler William Walters. Although Phil is not facing any charges in the Mickelson case, he did agree to pay full disgorgement of his trading profits totaling $931,738.12. As detailed in the insider-trading complaint filed […]

Author: Dan Brecher

May 30, 2016

Insider-Trading Streak Ends With Rajaratnam Acquittal

Rengan Rajaratnam will not suffer the same fate as his younger brother, Galleon Group founder Raj Rajaratnam. A federal jury recently cleared him of insider- trading charges. The trial loss brings U.S. Attorney Preet Bharara’s five-year winning streak to an end. He was 81-0 in securing insider-trading convictions over the past four years. Bharara’s high-profile victories include […]

Author: Dan Brecher

July 17, 2014

Will There be a New Loophole For Insider Trading?

Insider trading laws may soon undergo changes that will allow creative professionals to avoid liability, even if they are caught. A three-judge panel of the U.S. Court of Appeals for the Second Circuit recently heard arguments on whether to reverse the convictions of two hedge fund managers. Todd Newman, a portfolio manager at Diamondback Capital […]

Author: Dan Brecher

July 8, 2014

Insider Trading

Mums the Word: Firms Agree to Restrict Early Access to Analyst Reports

Several prominent Wall Street firms have reached an agreement with New York regulators to end the practice of cooperating with surveys that provide early access to analysts’ opinions. New York Attorney General Eric T. Schneiderman requested the deal as part of his investigation into the early release of analyst sentiment to preferred investors, a practice […]

Author: Dan Brecher

March 17, 2014

Will Martoma Conviction Bolster Insider Trading Crackdown?

While the Securities and Exchange Commission (SEC) may have a spotty record when it comes to insider trading cases, U.S. Attorney Preet Bharara has an impressive winning streak. He is 79-0 in securing insider-trading convictions over the past four years. Former hedge fund trader Mathew Martoma is the latest guilty verdict for Bharara, whose other […]

Author: Dan Brecher

February 19, 2014

SEC Strikes Out in the Courtroom…Again

The Securities and Exchange Commission’s (SEC) new “get tough” approach continues to hit roadblocks. While the agency has vowed to take more cases to trial rather than settle, the threat only works if prosecutors are largely successful in the courtroom. Following the SEC’s loss in the high-profile case against Mark Cuban, the SEC recently suffered […]

Author: Scarinci Hollenbeck, LLC

January 23, 2014

SAC Capital Advisors Settles Insider Trading Charges in Record Settlement

The Department of Justice recently announced a landmark settlement involving SAC Capital Advisors. The firm, which was once the world’s most powerful and successful players in the hedge fund industry, has agreed to pay nearly $1.8 billion in penalties to resolve allegations of insider trading. According to a press release from U.S. Attorney Preet Bharara, […]

Author: Scarinci Hollenbeck, LLC

November 8, 2013

Insider Trading

Former Qualcomm Executive Charged With Insider Trading

Insider trading has become a hot button issue for the Securities and Exchange Commission (SEC). From 2009 through 2012, the agency filed more insider trading actions (168 total) than in any three-year period in the agency’s history. The SEC’s pace has not slowed in 2013. Most recently, a former executive of Qualcomm Inc. was hit […]

Author: Scarinci Hollenbeck, LLC

October 3, 2013

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