Description
28
SEC Press Release No. 2015-252, SEC Announces
http://www.sec.gov/news/pressrelease/2015-252.html.
29
United States v. Newman, 773 F.3d 438 (2d Cir. 2014).
30
United States v.
Salman, 792 F.3d 1087 (9th Cir. 2015). 31 SEC Release No. 2015-205, SEC Charges Consultant and Friend with Insider Trading in Advance of P.F.
Chang’s Merger, Sept. 23, 2015, http://www.sec.gov/news/pressrelease/2015-205.html. 32 Complaint ¶ 4, SEC v. Richard Condon et al., Case No.
2:15-cv-07443, https://www.sec.gov/litigation/complaints/2015/comp-pr2015-205.pdf. (C.D. 33 Order ¶ 1, In re Wolverine Trading LLC et al., https://www.sec.gov/litigation/admin/2015/34-76109.pdf. No. 34 Id. ¶¶ 3,7-44. 35 Order ¶ 2, In re Pekin Singer Strauss Asset Management Inc., et al., Investment Advisers Act Release No. 4126 (June 23, 2015), https://www.sec.gov/litigation/admin/2015/ia-4126.pdf. 36 Id.
¶ 14. 37 Id. ¶ 23. 38 Id. ¶ 47. 39 Id.
¶ 56. 40 Id. 41 SEC Release No. 2015-177, SEC Charges Advisory Firm with Fraud for Improperly Retaining Fees, Sept. 2, 2015, http://www.sec.gov/news/pressrelease/2015-177.html. 42 Order at Section III, In re Taberna Capital Management LLC et al., Securities Exchange Act Release No.
78514 (Sept. 2, 2015), http://www.sec.gov/litigation/admin/2015/34-75814.pdf. 43 SEC Release No. 2015-177. 44 SEC Release No.
2015-178, SEC Charges Seattle-Area Hedge Fund Adviser with Taking Unearned Management Fees, Sept. 4, 2015, http://www.sec.gov/news/pressrelease/2015-178.html. 45 Complaint ¶ 25, SEC v. Summit Asset Strategies Investment Management LLC et al., Case No.
2:15-cv-01429, (W.D. Wash. Sept.
4, 2015), https://www.sec.gov/litigation/complaints/2015/comp-pr2015-178.pdf. 46 Order ¶ 1, In re Alphabridge Capital Mgmt. LLC, et al., Investment Advisers Act Release No. 4135 (July 1, 2015); https://www.sec.gov/litigation/admin/2015/ia-4135.pdf. 47 Id.
¶ 15. 48 Order ¶¶ 2, 16-17, In re Briargate Trading LLC, https://www.sec.gov/litigation/admin/2015/33-9959.pdf. 49 Id. ¶ 15. 50 Id. 51 Id. ¶ 5. 52 Reuters, High-Frequency Trader Convicted in First U.S.
Spoofing Case, Nov. 4, 2015. 53 Memorandum Opinion and Order, United States v. Coscia, No.
14-CR-551 (N.D. Ill. Apr.
16, 2015). Whistleblower Exchange Securities Act Act Award Release Release of No. More Cal. 76109, 9959 Than Sept. (Oct. (Oct. $325,000, 23, 2015), 8, 2015), 8, 2015), 35 .
Salman, 792 F.3d 1087 (9th Cir. 2015). 31 SEC Release No. 2015-205, SEC Charges Consultant and Friend with Insider Trading in Advance of P.F.
Chang’s Merger, Sept. 23, 2015, http://www.sec.gov/news/pressrelease/2015-205.html. 32 Complaint ¶ 4, SEC v. Richard Condon et al., Case No.
2:15-cv-07443, https://www.sec.gov/litigation/complaints/2015/comp-pr2015-205.pdf. (C.D. 33 Order ¶ 1, In re Wolverine Trading LLC et al., https://www.sec.gov/litigation/admin/2015/34-76109.pdf. No. 34 Id. ¶¶ 3,7-44. 35 Order ¶ 2, In re Pekin Singer Strauss Asset Management Inc., et al., Investment Advisers Act Release No. 4126 (June 23, 2015), https://www.sec.gov/litigation/admin/2015/ia-4126.pdf. 36 Id.
¶ 14. 37 Id. ¶ 23. 38 Id. ¶ 47. 39 Id.
¶ 56. 40 Id. 41 SEC Release No. 2015-177, SEC Charges Advisory Firm with Fraud for Improperly Retaining Fees, Sept. 2, 2015, http://www.sec.gov/news/pressrelease/2015-177.html. 42 Order at Section III, In re Taberna Capital Management LLC et al., Securities Exchange Act Release No.
78514 (Sept. 2, 2015), http://www.sec.gov/litigation/admin/2015/34-75814.pdf. 43 SEC Release No. 2015-177. 44 SEC Release No.
2015-178, SEC Charges Seattle-Area Hedge Fund Adviser with Taking Unearned Management Fees, Sept. 4, 2015, http://www.sec.gov/news/pressrelease/2015-178.html. 45 Complaint ¶ 25, SEC v. Summit Asset Strategies Investment Management LLC et al., Case No.
2:15-cv-01429, (W.D. Wash. Sept.
4, 2015), https://www.sec.gov/litigation/complaints/2015/comp-pr2015-178.pdf. 46 Order ¶ 1, In re Alphabridge Capital Mgmt. LLC, et al., Investment Advisers Act Release No. 4135 (July 1, 2015); https://www.sec.gov/litigation/admin/2015/ia-4135.pdf. 47 Id.
¶ 15. 48 Order ¶¶ 2, 16-17, In re Briargate Trading LLC, https://www.sec.gov/litigation/admin/2015/33-9959.pdf. 49 Id. ¶ 15. 50 Id. 51 Id. ¶ 5. 52 Reuters, High-Frequency Trader Convicted in First U.S.
Spoofing Case, Nov. 4, 2015. 53 Memorandum Opinion and Order, United States v. Coscia, No.
14-CR-551 (N.D. Ill. Apr.
16, 2015). Whistleblower Exchange Securities Act Act Award Release Release of No. More Cal. 76109, 9959 Than Sept. (Oct. (Oct. $325,000, 23, 2015), 8, 2015), 8, 2015), 35 .
