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Securities & Exchange Commission v. Clark et al
Case Number:
1:20-cv-01529
Court:
Nature of Suit:
Judge:
Firms
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December 21, 2023
SEC Rebounds From Rare Trial Loss With $240K Fine
The mortgage broker who won a rare courtroom victory against the U.S. Securities and Exchange Commission agreed Thursday to pay $240,000 to avoid going to trial a second time on allegations that he profited off insider information about a multibillion-dollar merger.
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November 03, 2023
SEC Settles Unusual Insider Trading Case Ahead Of 2nd Trial
A mortgage broker who won a rare midtrial victory in a U.S. Securities and Exchange Commission insider trading case, only to see it reversed by the Fourth Circuit, has settled with the agency just as the case was preparing to go before a second jury later this month.
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February 23, 2023
SEC Gets Second Shot At Case After Rare Mid-Trial Defeat
The Fourth Circuit on Thursday gave the U.S. Securities and Exchange Commission a second chance to bring an insider trading case to trial after a lower court judge took the rare step of tossing the case before a jury could hear the defense's arguments.
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December 16, 2021
SEC's Stunning Trial Loss Rattles Its Insider Trading Strategy
The U.S. Securities and Exchange Commission's shocking defeat in a recent insider trading trial marks a rare snub of the agency's time-tested reliance in court on statistical evidence of suspicious trading.
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December 14, 2021
SEC Handed Rare Midtrial Defeat In Insider Trading Case
The U.S. Securities and Exchange Commission has suffered a rare midtrial loss after a Virginia federal judge dismissed the agency's insider trading case against a mortgage broker without hearing any evidence from the defendant.
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November 19, 2021
Atty Accuses SEC Of Defaming Client In Insider Trading Case
An insider trading defendant's attorney rebuked the U.S. Securities and Exchange Commission in court Friday over a press release touting a recent settlement in the case, saying the SEC's announcement could potentially influence jurors hearing allegations against his client, who wasn't part of the settlement.
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December 14, 2020
SEC Says Exec Leaked Info On $2.6B Tech Advisory Merger
The U.S. Securities and Exchange Commission says the former corporate controller of technology consultant CEB Inc. leaked information to his brother-in-law ahead of the firm's April 2017 merger with Gartner, allowing the close family member and his son to rake in nearly $300,000 in illegal profits.