Cryptocurrency

The Commission’s complaint alleged that, on at least four occasions between September 2009 and July 2010, Megalli traded shares of Carter’s, based on material nonpublic ...

Sadeghi and Rezakhani met with Brett Kennedy (“Kennedy”), who worked as a Financial Analyst at Amazon.com, Inc. (“Amazon”). During that meeting, Kennedy disclosed to Sadeghi ...

The Commission’s complaint against Stirton alleged that Stirton traded on the basis of material nonpublic information on four separate instances. The complaint further alleges that ...

The Commission’s complaint against Basrai alleged that Basrai traded on the basis of material nonpublic information on five separate instances. The complaint further alleges that ...

In a highly anticipated OCIE risk alert released last month, the National Exam Program called out that cybersecurity remains one of the top risks for ...

The Commission’s complaint alleges that in November and December 2016, while employed at the Investment Bank, Krishnamoorthy learned highly confidential details about a private equity ...

The SEC alleges that Jason Napodano, who headed a division called Zacks Small Cap Research within a larger investment research firm, misled investors in penny ...

Although LBMZ had policies and procedures calling for monthly reviews of its employees’ brokerage statements, reviews of its employees’ internal and external communications, and the ...

Bad actors may have exploited “a software vulnerability” to gain access to non-public information within the SEC’s EDGAR system and used the data “for illicit ...

The recent U.S. Court of Appeals for the 2nd Circuit’s 2-1 decision affirming the insider trading conviction of a former portfolio manager hammers another nail ...