Insider Trading

Preliminary Note to §240.10b5-2: This section provides a non-exclusive definition of circumstances in which a person has a duty of trust or confidence for purposes ...

A former Ameriprise Financial hedge fund portfolio manager has settled an SEC insider trading case, pushing her collective penalties for the illegal activity to close ...

Two years ago, traders Todd Newman and Anthony Chiasson were charged with insider trading, allegations that eventually took down their firms – an investment adviser ...

Securities Exchange Act of 1934Section 20A -- Liability to Contemporaneous Traders for Insider TradingPrivate rights of action based on contemporaneous tradingAny person who violates any ...

Securities Exchange Act of 1934Section 21A -- Civil Penalties for Insider Trading Authority to impose civil penaltiesJudicial actions by Commission authorizedWhenever it shall appear to ...

To the victor go the spoils. Only weeks after a federal jury acquittedNelson Obus and other defendants in a long-running SEC case claiming insider trading, ...

FINRA employs 37 people who are dedicated to monitoring the markets for insider trading, revealed Samuel Draddy, senior VP in charge of FINRA's Office of ...

An Appeal Courts decision last week couldn't have been good news for Joseph Contorinis as the former portfolio manager for a hedge fund sat in ...

At first, Toby Scammell mounted a vigorous defense of charges that he used insider information to earn a 3,000% profit. The 28-year-old California man initially ...

A pledge to fix compliance failures makes up part of the case that has now produced "the largest financial penalty in history for insider trading ...