Insider Trading

The Securities and Exchange Commission announced that on December 3, 2015, the federal district court in Philadelphia, Pennsylvania entered a final judgment against Bonan Huang, ...

The criminal information also alleged that Eydelman, Metro, and Tamayo netted more than approximately $5.6 million in illicit profits by executing trades on behalf of ...

Bowing to judicial reality in the wake of the Newman decision (IA Watch, Oct. 15, 2015), the SEC two days before Thanksgiving dismissed its insider ...

Marwood had written policies and procedures that prohibited the dissemination of MNPI and required any potential MNPI received from any source to be brought to ...

The Commission’s complaint alleged that, in the course of his employment as a portfolio manager for his former employer, Wu learned material, non-public information about ...

According to the SEC's complaint, Zhou, a resident of Beijing, China, used a newly opened brokerage account to purchase almost 40,000 shares of MedAssets at ...

The SEC last year charged Vladimir Eydelman, a former stockbroker employed by Oppenheimer & Co. and later by Morgan Stanley, in a scheme involving the ...

The Department of Justice announced today that it is dismissing insider trading charges against seven defendants, some who had pled guilty – all as a ...

A failure to enforce information barriers between IA and B-D affiliates has resulted in SEC charges for the affiliates for neglecting to maintain and enforce ...

These proceedings arise out of WT’s and WAM’s failure to establish, maintain, or enforce written policies and procedures reasonably designed, taking into consideration the nature ...