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Insider Trading (140)
Your search for Insider Trading returned 140 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...
10/09/2018 | Content area: Investment Adviser
he shoddy state of American insider-trading law affects everyone.Prosecutors and regulators are stuck enforcing laws that are ill-suited to 21st-centu...
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...
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...
5/08/2018 | 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...
10/11/2017 | Content area: Investment Adviser
Sadeghi and Rezakhani met with Brett Kennedy (“Kennedy”), who worked as a Financial Analyst at Amazon.com, Inc. (“Amazon”). During that meeting, Kenne...
9/27/2017 | Content area: Investment Adviser | Private Fund
The Commission’s complaint alleges that in November and December 2016, while employed at the Investment Bank, Krishnamoorthy learned highly confidenti...
9/21/2017 | Content area: Investment Adviser
Bad actors may have exploited “a software vulnerability” to gain access to non-public information within the SEC’s EDGAR system and used the data “for...
9/14/2017 | Content area: Investment Adviser
The recent U.S. Court of Appeals for the 2nd Circuit’s 2-1 decision affirming the insider trading conviction of a former portfolio manager hammers ano...
8/16/2017 | Content area: Investment Adviser
The SEC's complaint alleges that Rivas frequently tipped his girlfriend's father, James Moodhe, who traded on the information and used coded conversat...
8/08/2017 | Content area: Investment Adviser
The Commission’s complaint against McClatchey alleged that McClatchey had regular access to highly confidential nonpublic information about impending ...
1/05/2017 | Content area: Investment Adviser
In an SEC enforcement first, the Commission has charged hacking into the computer networks of two prominent but unidentified New York-based law firms ...
12/27/2016 | Content area: Investment Adviser
The alleged hacking incidents involved installing malware on the law firms' networks, compromising accounts that enabled access to all email accounts ...
12/08/2016 | Content area: Investment Adviser
It’s not often the U.S. Supreme Court agrees on a topic unanimously but it did so Dec. 6th in upholding a lower court’s insider trading conviction of ...
12/02/2016 | Content area: Investment Adviser
While traveling with Executive A as his guest during the Super Bowl weekend in Dallas, Texas from February 4-7, 2011, Munakash learned that GSI was en...


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