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SEC and DOJ claim executive liquidated Getty Images stock holdings after a sham offer to buy the company drove its stock price up.
The cases revolve around MNPI an individual got from a Dick’s Sporting Goods employee to engage in nearly 200 trades of the company’s securities.
Supreme Court says shareholders can’t sue a company under Rule 10b-5(b) for not disclosing risks or trends that might have a material impact on it.
Alleged pyramid scheme raised $1.7 billion+ from investors.
Disciplinary decisions issued November 17 – 23, 2023.
Net profits to be distributed to harmed investors after failures to supervise.
SEC and DOJ charge former co-CEOs over misleading information on company finances.