Securities and Exchange Commission v. James V Mazzo et al
Case Number:
8:12-cv-01327
Court:
Nature of Suit:
Judge:
Firms
- Greenberg Gross
- Kendall Brill & Kelly
- Morrison Foerster
- Skadden Arps
- Umhofer Mitchell
- Winston & Strawn
Government Agencies
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January 26, 2021
$300K SEC Disgorgement Should Stand Despite Liu Ruling
A California federal judge Tuesday rejected a businessman's attempt to amend a settlement he reached with the U.S. Securities and Exchange Commission over insider trading allegations, ruling he must pay $300,000 despite a recent U.S. Supreme Court ruling altering the government's disgorgement powers.
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November 13, 2018
Ex-CEO Accused Of Tipping Oriole Reaches $1.5M SEC Deal
The former CEO of a medical optics firm accused of passing insider information to a former Baltimore Orioles player reached a $1.5 million deal with the U.S. Securities and Exchange Commission, according to papers filed in California federal court Tuesday.