Insider Trading

SEC Charges Two Bankers and Trader in Serial International Insider Trading Scheme Litigation Release No. 24650 / October 22, 2019 Securities and Exchange Commission v. ...

SEC Obtains Asset Freeze and Charges Banker and Trader in International Insider Trading Scheme Litigation Release No. 24649 / October 22, 2019 Securities and Exchange ...

From 2009 to 2017, Siva was associated with a broker-dealer and investment adviser registered with the Commission. Siva, 57 years old, is a resident of ...

The count of the criminal indictment to which Jung pled guilty alleged, inter alia, that from October 2015 to October 2016, in violation of the ...

The Commission’s complaint alleged that Respondent received material, nonpublic information from Defendant A, one of his brokerage clients, about three confidential potential acquisitions of publicly-traded ...

SEC Wins Jury Trial Against Broker Charged with Insider Trading Litigation Release No. 24564 / August 15, 2019 Securities and Exchange Commission v. Thomas W. ...

SEC Bars Hedge Fund Manager Charged with Asset Mismarking and Insider Trading Litigation Release No. 24548 / July 29, 2019 Securities and Exchange Commission v. ...

Rooney purchased Vera Bradley stock and options using material, nonpublic information that he obtained from a senior employee of Vera Bradley (the “Vera Bradley Executive”), ...

The Commission’s complaint alleged that Payton committed insider trading by trading on material, nonpublic information that he received in breach of a duty regarding the ...

The unidentified public company uploaded a “test filing” that revealed its second quarter earnings to the SEC’s EDGAR system at 3:32 p.m. on a Thursday ...