Insider Trading

The SEC alleges that Lawrence F. Cluff, Jr. and Roger E. Shaoul were in possession of material nonpublic information about the impending acquisition when they ...

Nino Coppero del Valle, the alleged tipper who worked at one of the companies, agreed to pay full disgorgement of $53,607.70 plus interest of $5,382.44. ...

The counts of the criminal indictment to which Hobson pled guilty alleged, inter alia, that Hobson conspired to commit insider trading in the securities of ...

The customers of the Singapore-based broker-dealer purchased 950,000 shares of Fortress common stock on February 14, 2017 before the market close and entered orders to ...

Yet, for a period of more than eight months, from November 3, 2014 (when the hedge fund commenced trading) until July 10, 2015, Sidoti had ...

It’s not often the U.S. Supreme Court agrees on a topic unanimously but it did so Dec. 6th in upholding a lower court’s insider trading ...

While traveling with Executive A as his guest during the Super Bowl weekend in Dallas, Texas from February 4-7, 2011, Munakash learned that GSI was ...

Parigian illegally traded on material non-public information about American Superconductor Corp. Parigian allegedly received the material non-public information from his friend, defendant Eric McPhail. McPhail's ...

The Commission’s complaint alleged, among other things, that in 2009, Cain traded in the securities of Chattem, Inc., while in possession of material, non-public information that ...

Artis Financial Management was at least proactive in having a written policy requiring its employees to notify the firm’s CCO of any potential material nonpublic ...