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The Commission’s amended complaint alleged that Zirinsky engaged in unlawful insider trading by purchasing the common stock of Philadelphia Consolidated Holdings Corp. (“Philadelphia Consolidated) in advance ...
These proceedings involve Bolan, a research analyst at Wells Fargo Securities, who, in words or in substance, provided notice of at least one forthcoming ratings ...
Both men previously pled guilty to criminal charges arising out of the same conduct. Jorgenson was sentenced to 24 months in jail and Stokke was ...
The SEC alleges that Dr. Xiaoyu Xia and Ms. Yanting Hu, residents of Beijing, China, each purchased out-of-the-money call options in 58.com in the time ...
Earlier this month, the U.S. Second Circuit Court of Appeals denied the government’s request that the court reexamine its ruling in United States v. Newman. ...
In a bid to require the SEC to implement a more rigorous, fair and public process for the granting of disqualification waivers, Rep. Maxine Waters ...
Saying “it’s beyond time to act” on the lack of exams for IAs, SEC Chair Mary Jo White last week said permitting “a program of ...
SEC Obtains a Preliminary Injunction Against Two Former Employees of Capital One Financial Corporation for Insider Trading
SEC Charges a Third Trader in Louisiana-Based Insider Trading Case
The word-search lexicon at Garden State Securities in Red Bank, N.J., includes “disappointed,” “complaint,” and “regulator” – as well as “off the record” and “talk ...
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