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Insider Trading

Legal troubles emerged for a legal eagle last week, as the SEC charged a second Ropes & Gray attorney in its widening insider trading investigation ...
Considering how hot insider trading is from a compliance perspective (IA Watch, Nov. 23, 2009), it's helpful to see what the SEC expects firms to ...
Look for a report soon from the SEC Inspector General about two Commission staff attorneys in regional offices of the Enforcement Division who violated agency ...
A jury has found a former Fidelity trader liable of insider trading for tipping his mother on pending trading information for advisory clients. While DavidDonovan ...
IA Watch has obtained testimony that appears to support allegations of insider trading at the RIA Pequot Capital Management (IA Watch, Jan. 12, 2009). The ...
The cases keep coming. In the weeks since the news splashed about the arrest of billionaire Raj Rajaratnam at Galleon (IA Watch, Oct. 16, 2009), ...
Allegations of disposable cell phones used to relate secrets, a lawyer who divulged pending acquisitions, suspects deploying code words and a broker-dealer known as "the ...
Last week a Canadian attorney apparently committed suicide rather than face insider trading charges. The SEC also barred a former Goldman Sachs rep for feeding ...
The Department of Justice Friday announced criminal fraud charges against some prominent hedge fund managers, including Raj Rajaratnam, a portfolio manager with the Galleon Group, ...
A federal judge ruled against the SEC last month in a four year-old insider trading case when the agency failed to show the tipper benefited ...
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