Insider Trading

Three hedge funds - including two RIAs - were visited last week in FBI raids that the Wall Street Journal characterized as culminating a three-year ...

Insider trading remains as hot as the summer sun, with regulator's standing watch like an earnest lifeguard. Your best protection is to issue disclosures, note ...

This is an article written by attorney Andrew Vollmer on steps hedge fund advisers can take to reduce the risk of insider trading. This article ...

In a case that has dogged the SEC for years, the agency last week settled insider trading charges against RIA Pequot Capital Management ($443M in ...

Last June, as the mortgage-backed securities market tanked, an official at the RIA Evergreen Investment Management Company got wind that a fund packed with the ...

The latest SEC enforcement action targeting insider trading reads like a mix of espionage and office politics, with its claim that the suspects "exchanged illegal ...

Legal troubles emerged for a legal eagle last week, as the SEC charged a second Ropes & Gray attorney in its widening insider trading investigation ...

Considering how hot insider trading is from a compliance perspective (IA Watch, Nov. 23, 2009), it's helpful to see what the SEC expects firms to ...

Look for a report soon from the SEC Inspector General about two Commission staff attorneys in regional offices of the Enforcement Division who violated agency ...

A jury has found a former Fidelity trader liable of insider trading for tipping his mother on pending trading information for advisory clients. While DavidDonovan ...