Insider Trading

The patchwork of communications pieced together by SEC investigators into solid evidence of insider trading leaves little surprise that the vaunted RIA SAC Capital Advisors ...

Joseph Massoud, the founder of buyout firm Compass Group Management settled insider trading charges the Securities and Exchange Commission had brought against him.

Remarks During News Conference Announcing Charges in a $276 Million Insider Trading Scheme, by Robert Khuzami, on November 20, 2012 Remarks During News Conference Announcing ...

FINRA is scrutinizing options trading, and believes its ability to conduct surveillance in this area will increase substantially when a consolidated audit trail (CAT) is ...

The long arm of Dodd-Frank has reached into the U.S. Sentencing Commission, which April 13 promulgated proposals that would increase penalties for insider trading cases, ...

It seems almost boiler plate but it's a strategy worth a slot in your arsenal: add an attestation to your firm's annual certification that has ...

What began as a friendship linked by meetings of Alcoholics Anonymous in Philadelphia would turn into one of betrayal that sparked a case of insider ...

What began as a friendship linked by meetings of Alcoholics Anonymous in Philadelphia would turn into one of betrayal that sparked a case of insider ...

Cash for insider information allegedly used to make millions in illicit profits were disguised as soft dollar payments, according to the latest prosecution that targets ...

A man who served as managing director for technology systems at FINRA, and another who was a contract computer programmer there, were among eight individuals ...