Case Results

Sullivan Brill, LLP successfully convinces SEC to drop investigation against client accused of Insider Trading

After several months of negotiations and meetings with the SEC in New York, the SEC agreed to terminate their investigation of our client for alleged stock trading on insider information. The insider trading investigation began when client was approached by federal agents for allegedly profiting from a stock sale of a company that had just recently been acquired. The client's trade occurred shortly before the takeover. Sullivan Brill, LLP presented evidence of innocence and ultimately was able to fight-off any further SEC action.

Areas We Serve

Our firm serves clients in New York City, Long Island, Kings, Bronx, New York, Queens, Richmond, Nassau, Suffolk, Westchester, and Rockland Counties, and San Juan, Puerto Rico.

Sullivan & Brill, LLP
110 E. 59th Street, Floor 23,
New York, NY 10022
212-566- 1000
Sullivan & Brill, LLP
50 Fountain Plaza, Suite 1400,
Buffalo, NY 14202