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Securities and Exchange Commission v. Heartland Advisors Inc et al
Case Number:
2:03-cv-01427
Court:
Nature of Suit:
Judge:
Firms
- Chapman Spingola
- Fox O'Neill
- Godfrey & Kahn
- K&L Gates
- Meissner Tierney
- Reinhart Boerner
- Sorrentino Burkert
- Stinson LLP
- Winston & Strawn
Companies
Government Agencies
Sectors & Industries:
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August 29, 2014
Ex-Heartland Exec Beats SEC Insider Trading Suit
A Wisconsin federal judge dismissed an insider trading case Friday brought against a former investment firm executive, three years after ruling in favor of the Securities and Exchange Commission, on grounds that the agency's arguments before appellate court had not been raised in district court.
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May 26, 2011
Heartland GC Loses Bid To Nix Insider Trading Ruling
A Wisconsin federal judge ruled again on Wednesday that Heartland Advisors Inc.'s former general counsel and chief compliance officer engaged in insider trading, denying a motion to reconsider a summary judgment ruling against her.
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April 01, 2011
Ex-Heartland GC Engaged In Insider Trading: Judge
A Wisconsin federal judge found Thursday that Heartland Advisors Inc.'s former general counsel and chief compliance officer engaged in insider trading in advance of her company's forced devaluation of its municipal fund portfolio.