Showing posts with label INSIDER TRADING. Show all posts
Showing posts with label INSIDER TRADING. Show all posts
Monday, June 29, 2015

FORMER SENIOR EXEC AT QUALCOMM SENTENCED FOR INSIDER TRADING

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FROM:  U.S. JUSTICE DEPARTMENT Friday, June 26, 2015 Former Senior Executive of Qualcomm Sentenced to 18 Months and Fined $500,000 for Ins...
Friday, January 2, 2015

SEC CHARGES TWO BUSINESSMEN IN CHILE WITH INSIDER TRADING

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission charged two business associates in Chile with insid...
Thursday, December 18, 2014

FORMER BOARD CHAIRMAN TO PAY OVER $378,000 TO SETTLE SEC CHARGES OF INSIDER TRADING

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23153 / December 9, 2014 Securities and Exchange Commission v. ...
Monday, December 15, 2014

FORMER MANAGING DIRECTOR NASDAQ, INSIDE TRADER ORDERED TO DISGORGE NEARLY $900,000 OF PROFITS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Litigation Release No. 23156 / December 12, 2014 Securities and Exchange Commission v. Don...
Thursday, October 16, 2014

SEC CHARGES FINANCIAL ANALYST WITH INSIDER TRADING ON EMPLOYER'S CONFIDENTIAL INFORMATION

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission today announced insider trading charges against a ...
Friday, October 3, 2014

FORMER WELLS FARGO EMPLOYEES ACCUSED OF RATINGS CHANGE ASSOCIATED RESEARCH TO MAKE INSIDER TRADES

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Two Former Wells Fargo Employees Charged With Insider Trading in Advance of Research Repo...
Thursday, October 2, 2014

POST-IT NOTE USER CHARGED BY SEC WITH INSIDER TRADING

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission charged a Brooklyn man with facilitating a $5.6 mi...
Tuesday, July 22, 2014

FORMER QUALCOMM EXECUTIVE PLEADS GUILTY TO INSIDER TRADING, MONEY LAUNDERING

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FROM:  U.S. JUSTICE DEPARTMENT  Monday, July 21, 2014 Former Senior Executive of Qualcomm Pleads Guilty to Insider Trading and Money La...
Sunday, July 13, 2014

GOLFING BUDDIES CHARGED BY SEC IN INSIDER TRADING CASE

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission charged a group of friends, most of them golfing ...
Sunday, May 25, 2014

SEC ANNOUNCES ANOTHER CASE INVOLVING ALLEGED SECURITIES PRICE MANIPULATION IN A MICROCAP COMPANY

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Litigation Release No. 23000 / May 22, 2014 The Securities and Exchange Commission an...
Tuesday, May 20, 2014

TWO CLINICAL DRUG TRIAL DOCTORS CHARGED BY SEC WITH INSIDER TRADING IN BIOPHARMA STOCK

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FROM: U.D.  SECURITIES AND EXCHANGE COMMISSION  SEC Charges Two Clinical Drug Trial Doctors with Insider Trading The Securities and Exc...
Friday, April 18, 2014

BP P.L.C. FORMER EMPLOYEE CHARGED WITH INSIDER TRADING AFTER DEEPWATER HORIZON OIL SPILL

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FROM:  SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission today charged a former 20-year employee of BP p.l.c. and...
Friday, April 4, 2014

FRIENDS CHARGED WITH TRADING ON INSIDER INFORMATION

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FROM:  SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission today charged two friends with insider trading on confid...
Tuesday, April 1, 2014

SEC CHAIR WHITE'S SPEECH ON ALL-ENCOMPASSING ENFORCEMENT TO POLICE MARKETS

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FROM:  SECURITIES AND EXCHANGE COMMISSION  All-Encompassing Enforcement: The Robust Use of Civil and Criminal Actions to Police the Markets...
Friday, March 14, 2014

BROTHERS FOUND GUILTY OF INSIDER TRADING

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FROM:  SECURITIES AND EXCHANGE COMMISSION  Jury in Cleveland Finds Brothers Engaged in Insider Trading The Securities and Exchange Commis...
Monday, February 24, 2014

SEC CHARGES INVESTMENT BANKER WITH INSIDER TRADING FOR ALMOST $1 MILLION IN PROFITS

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FROM:  SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission today announced an emergency action against a New York Ci...
Sunday, December 29, 2013

FINAL JUDGEMENT ANNOUNCED IN GLOBAL EDUCATION INSIDER TRADER CASE

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  SEC Obtains Final Judgment Against Yonghui Zhang in Global Education Insider Trading Case ...
Thursday, December 19, 2013

FORMER MICROSOFT PORTFOLIO MANAGER AND BUSINESS PARTNER CHARGED WITH INSIDER TRADING BY SEC

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission today charged a senior portfolio manager at Microso...
Wednesday, December 4, 2013

SEC CHARGES TRADER WITH INSIDER TRADING OF STOCK IN A CHINESE COMPANY

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission charged a Miami-based trader with insider trading in...
Sunday, October 20, 2013

FORMER QUALCOMM EXECUTIVE CHARGED WITH INSIDER TRADING BY SEC

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION SEC Charges Former Qualcomm Executive and His Financial Advisor with Insider Trading Throug...