Insider Trading

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 ...

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 ...

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 ...

The count of the criminal information to which Yin pleaded guilty alleged, among other things, that beginning in 2011 and continuing through February 2013, Yin ...

This matter involves insider trading by Alan M. Stark, a Florida attorney who provided legal services to a prominent hedge fund manager regarding his beneficial ...

Relying on your firm’s employees to self-evaluate and self-report the potential receipt of material non-public information and failing to adopt P&Ps ensuring they do so ...

One red flag was that the research firm’s Form ADV2 indicated that the political intelligence analyst also served as the research firm’s Chief Compliance Officer. ...