Insider Trading

The count of the criminal information to which Yin pleaded guilty alleged, among other things, that beginning in 2011 and continuing through February 2013, Yin ...

This matter involves insider trading by Alan M. Stark, a Florida attorney who provided legal services to a prominent hedge fund manager regarding his beneficial ...

Relying on your firm’s employees to self-evaluate and self-report the potential receipt of material non-public information and failing to adopt P&Ps ensuring they do so ...

One red flag was that the research firm’s Form ADV2 indicated that the political intelligence analyst also served as the research firm’s Chief Compliance Officer. ...

The SEC's complaint alleges that Rivas frequently tipped his girlfriend's father, James Moodhe, who traded on the information and used coded conversations and in-person meetings ...

Jordan Fogel, who agreed to cooperate with the SEC in its ongoing litigation against the remaining defendants for their roles in the insider trading scheme, ...

The Commission’s complaint against McClatchey alleged that McClatchey had regular access to highly confidential nonpublic information about impending transactions being pursued for Barclays’ clients and ...

These proceedings arise out of the failure of WSC, a registered broker-dealer, to establish, maintain, and enforce written policies and procedures reasonably designed, taking into ...

Thanks to an insider who knew ahead of time that Medicare would jack up reimbursement rates, an IA reaped nearly $4 million in “illegal profits” ...

The SEC's complaint alleges that David Blaszczak, a former government employee turned political intelligence consultant, obtained key confidential details about upcoming decisions by the Centers ...