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Negligence Based Charges - The Insider Trading Cartoon Series, Vol. VIII [VIDEO]

Can you resolve your insider trading case with a negligence-based charge?  Probably not.  If you’re lucky enough to get there, it’ll only be after a long, painful fight.

David Smyth represents corporations and individuals facing federal and state government investigations and in complex litigation. His related work in corporate compliance, whistleblower issues, and data security extends to public companies and other entities with sophisticated regulatory matters.

Part 1 - The Insider Trading Cartoon Series Vol. I — Classical Theory 

Part 2 - Insider Trading Cartoon Series, Vol. II — Temporary Insiders

Part 3 - The Insider Trading Cartoon Series, Vol. III — Very Temporary Insiders

Part 4 - Insider Trading Cartoon Series, Vol. IV — Rank-and-File Employees [VIDEO]

Part 5 - Insider Trading Cartoon Series, Vol. V — Misappropriation Theory [VIDEO]

Part 6 - Insider Trading Cartoon Series, Vol. VI — Misappropriation (Part Deux) [VIDEO]

Part 7 - Insider Trading Cartoon Series, Vol. VII — Misappropriation Theory (Part the Third)

Part 8 - Negligence Based Charges - The Insider Trading Cartoon Series, Vol. VIII [VIDEO]

Part 9 - Tender Offers - The Insider Trading Cartoon Series, Vol. IX [VIDEO]

Part 10 - Tipping (Pre-Newman): Insider Trading Cartoon Series, Vol. X

Part 11 - Multi-Level Tipping: Insider Trading Cartoon Series, Vol. XI [VIDEO]

Part 12 - Innocent Intermediary: Insider Trading Cartoon Series, Vol. XII [VIDEO]

Copyright © 2018, Brooks, Pierce, McLendon, Humphrey & Leonard LLP

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David Smyth, Brooks Pierce, Government Investigations, Banking Litigation
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David Smyth has a wide-ranging enforcement and litigation practice that focuses on representation of individuals and corporations facing action by federal and state authorities.  David also conducts internal corporate investigations and advises companies on compliance with federal and state securities laws and other laws and regulations.  David has handled cases in three of the SEC’s regional offices and its Home Office in Washington, D.C.  David has also led the defense of investigations by the CFTC, CFPB, and federal criminal prosecutors.  Throughout these matters,...

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