Posts tagged gifting theory.
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SEC Tees Up Newman & Admin Forum Issues for 2016

The SEC granted two petitions for review last week that tee-up significant issues for full Commission consideration late next Spring. The Commission will consider the application of the Second Circuit's Newman decision restricting the "gifting theory" of insider trading and also will take up the constitutionality of the agency's administrative enforcement forum. Insider-Trading After Newman. ALJ Patil dismissed insider-trading charges against trader Joseph Ruggieri last fall, finding that his tipper hadn't provided the inside information in return for any personal ...

Posted in: Insider Trading Litigation, SEC
Tags: burr forman, gifting theory, insider-trading, Joseph Ruggieri, Newman, SEC, Securities and Exchange Commission, securities litigation, Securities Litigation & Arbitration
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