Insider Trading

The Commission’s complaint alleged that Respondent received material, nonpublic information from Defendant A, one of his brokerage clients, about three confidential potential acquisitions of publicly-traded ...

SEC Wins Jury Trial Against Broker Charged with Insider Trading Litigation Release No. 24564 / August 15, 2019 Securities and Exchange Commission v. Thomas W. ...

SEC Bars Hedge Fund Manager Charged with Asset Mismarking and Insider Trading Litigation Release No. 24548 / July 29, 2019 Securities and Exchange Commission v. ...

Rooney purchased Vera Bradley stock and options using material, nonpublic information that he obtained from a senior employee of Vera Bradley (the “Vera Bradley Executive”), ...

The Commission’s complaint alleged that Payton committed insider trading by trading on material, nonpublic information that he received in breach of a duty regarding the ...

The unidentified public company uploaded a “test filing” that revealed its second quarter earnings to the SEC’s EDGAR system at 3:32 p.m. on a Thursday ...

The SEC's complaint alleges that Ieremenko circumvented EDGAR controls that require user authentication and then navigated within the EDGAR system. Ieremenko obtained nonpublic "test files," ...

Litvak was also criminally charged by the U.S. Attorney for the District of Connecticut based on the same facts underlying the SEC's action. Litvak ...

he shoddy state of American insider-trading law affects everyone.Prosecutors and regulators are stuck enforcing laws that are ill-suited to 21st-century misconduct. Lawyers struggle to tell ...

Rampoldi purchased or caused to be purchased Ardea Biosciences, Inc. (“Ardea”) securities based on tips he received of material, nonpublic information regarding which he knew, ...