Plan B? Feds Pursue Insider Trading Charges Under SOX
An unusual insider trading prosecution brought under a provision of SOX (rather than Section 10(b) of the Exchange Act) suggests that prosecutors are seeking a "Plan B" in the wake of the Second Circuit's disruptive decision in U.S. v. Newman.
Related articles
-
ArticleSCOTUS, Congress to provide new legal insider-trading definition
A case before the Supreme Court and two bills in Congress could finally establish a national legal definition for insider trading. Joe Mont reports.
-
WebcastOct 14 | CPE Webcast: Navigating Evolving Banking Regulations in the U.S. and Canada
U.S. Banking regulators have moved to loosen traditional regulation and supervision in areas like capital requirements, stress testing and liquidity, while also being more receptive to innovation in areas including Artificial Intelligence and digital assets.
-
ArticleFormer startup CEO gets 7 years in prison for $175M fraud against JPMorgan Chase
Charlie Javice, a former CEO who duped JPMorgan Chase into purchasing her start up company for $175 million, has been ordered to forfeit more than $22 million by the Department of Justice (DOJ) and to spend 7 years in jail.