Introduction There are few legal situations that create more stress and uncertainty for investors, corporate insiders, pharma employees, investment bankers, or securities professionals than learning that securities regulators are investigating you for insider trading.  Federal regulators, including the SEC and DOJ, aggressively pursue insider trading cases, and that historical trend appears to be continuing without...Read More

How does the SEC define “AI-Washing” in 2026? Under the direction of Chairman Paul Atkins, the SEC has defined AI-washing as a materially false or misleading statement concerning a firm’s use of artificial intelligence to manage financial assets and/or to predict market trends.  If a firm claims its returns are generated by a “proprietary neural...Read More