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Insider Trading (223)
Your search for Insider Trading returned 223 results.
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1/17/2019 | Content area: Investment Adviser
The unidentified public company uploaded a “test filing” that revealed its second quarter earnings to the SEC’s EDGAR system at 3:32 p.m. on a Thursda...
1/17/2019 | Content area: Investment Adviser
The SEC's complaint alleges that Ieremenko circumvented EDGAR controls that require user authentication and then navigated within the EDGAR system. Ie...
12/06/2018 | Content area: Investment Adviser
Litvak was also criminally charged by the U.S. Attorney for the District of Connecticut based on the same facts underlying the SEC's action. Litvak w...
10/04/2018 | Content area: Investment Adviser
Rampoldi purchased or caused to be purchased Ardea Biosciences, Inc. (“Ardea”) securities based on tips he received of material, nonpublic information...
9/27/2018 | Content area: Investment Adviser
These proceedings concern insider trading by investment adviser Ross, who misappropriated material non-public information from his client Thomas Earl ...
8/10/2018 | Content area: Investment Adviser
Christopher Collins learned of the negative clinical trial results on the evening of June 22, 2017 in an email from Innate’s CEO to the board of direc...
7/25/2018 | Content area: Broker-Dealer
Robert Stewart recruited his friend, defendant Richard T. Cunniffe to place trades based on inside information that Robert received from his son, Sean...
7/23/2018 | Content area: Broker-Dealer
Mizuho failed to maintain and enforce effective information barriers between the International Desk and the U.S. Desk to prevent the sharing of issuer...
7/06/2018 | Content area: Broker-Dealer
In October and November of 2015, Johnson misappropriated material nonpublic information about the proposed acquisition from his relative (“Individual ...
5/31/2018 | Content area: Investment Adviser
Jung, a Vice President of Investment Banking who worked in the bank's San Francisco and New York offices, used sensitive client information in order t...
5/22/2018 | Content area: Investment Adviser
The complaint further alleged that Klein improperly used that material, non-public information to purchase King Pharmaceuticals’ stock for himself and...
5/10/2018 | Content area: Private Fund
The fallout continues from a now nearly two years’ old insider trading case involving two portfolio managers at a New York-based hedge fund adviser (P...
5/08/2018 | Content area: Broker-Dealer
Bovorn Rungruangnavarat coordinated with his brother, Badin Rungruangnavarat, to acquire large volumes of call options, futures, and shares of Smithfi...
5/08/2018 | Content area: Investment Adviser
Visium failed to take adequate steps to ensure the outside brokers were dealers in the securities for which they provided quotes; that the quotes obta...
5/03/2018 | Content area: Broker-Dealer
Yin knowingly and willfully agreed with Jing Wang and his brother, Bing Wang, to conceal Jing Wang’s insider trading and control of the proceeds of in...
5/01/2018 | Content area: Broker-Dealer
Hamilton tipped this material nonpublic information to others and traded on the basis of the material nonpublic information in accounts for his person...
4/02/2018 | Content area: Broker-Dealer
The Commission’s complaint alleged that Moodhe engaged in insider trading and tipping on the basis of material nonpublic information regarding impendi...
3/19/2018 | Content area: Broker-Dealer
Steven Metro, a former law firm employee previously charged as part of an insider trading scheme involving more than a dozen pending corporate transac...
1/11/2018 | Content area: Broker-Dealer
These proceedings arise out of insider trading by Chiera in the securities of URS Corporation (“URS”) based on material, nonpublic information that Ch...
12/22/2017 | Content area: Broker-Dealer
The counts of the criminal information to which Rivas pled guilty alleged, inter alia, that Rivas engaged in fraud in connection with the purchase and...


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