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June 10, 2011

Civil Insider Trading - Monetary Penalties

Second Circuit holds in SEC v. Rosenthal - "civil monetary penalties for insider trading are not available under section 21(d)(3) of the Exchange Act."

(esp)(hat tip to Lawrence S. Goldman)

June 10, 2011 in Judicial Opinions, SEC | Permalink

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Comments

Nice win for the pro se defendants!

Posted by: Jonathan | Jun 10, 2011 1:13:55 PM

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