Insider Trading

The SEC previously charged Fung's friend and tipper Kevin Dowd, of Boca Raton, Florida, who learned the nonpublic information during his employment at an investment ...

Martin's attorney friend revealed nonpublic information about the acquisition, including the names of the companies and the anticipated transaction price. The lawyer expected Martin to ...

Payton and Durant were sophisticated stock brokers who used highly confidential information about an upcoming transaction to illegally make hundreds of thousands of dollars at ...

Fishoff, Chernin and Costantin posed as legitimate portfolio managers in order to induce investment bankers to bring them "over the wall" and share confidential information ...

U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23461 / February 8, 2016 Securities and Exchange Commission v. Herbert K. Sudfeld, Civil Action No. 2:15-cv-03939-MAK ...

The SEC's complaint alleged that O'Neill, a former senior vice president at Eastern Bank Corporation, learned through his job responsibilities that his employer was planning ...

A federal judge Jan. 26 ordered the SEC to return a $21.5 million settlement to the now shuttered hedge fund adviser Level Global Investors after ...

The SEC's complaint, filed June 8, 2015, alleges that Andrade, a former bank director at Bancorp Rhode Island, Inc. engaged in insider trading when he ...

SEC Obtains Jury Verdict in Its Favor Against Former Capital One Employee On Insider Trading Charges

These proceedings arise out of insider trading by Shields. From May 29, 2012 to June 6, 2012, Shields purchased 12,600 shares of J. Alexander’s Corporation ...