Showing posts with label CONFIDENTIAL INFORMATION. Show all posts
Showing posts with label CONFIDENTIAL INFORMATION. Show all posts
Friday, May 29, 2015

DEFENDANT IN INSIDER TRADING CASE INVOLVING AMATEUR GOLFERS PLEADS GUILTY

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Litigation Release No. 23264 / May 18, 2015 Securities and Exchange Commission v. Eric ...
Saturday, April 4, 2015

SEC CHARGES FRIENDS WITH INSIDER TRADING REGARDING COOPER TIRE COMPANY ACQUISITION

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  04/02/2015 12:30 PM EDT The Securities and Exchange Commission charged two longtime fri...
Wednesday, July 23, 2014

NY INVESTOR RELATIONS FIRM PARTNERY CHARGED WITH INSIDER TRADING

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION The Securities and Exchange Commission today charged a partner at a New York-based inves...
Saturday, June 21, 2014

4 CHARGED IN $12 MILLION INSIDER TRADING CASE

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  SEC Charges Four California Residents in $12 Million Insider Trading Scheme The Securit...
Monday, May 12, 2014

SEC CHARGES FRIENDS AND BUSINESS ASSOCIATES OF HOME DIAGNOSTICS, INC., CHAIRMAN IN INSIDER TRADING SCHEME

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION SEC Charges Three Friends and Business Associates of Former Chairman of Home Diagnostics, ...
Thursday, August 8, 2013

ALLEGED TIPPER CHARGED IN S.A.C. CAPITAL PORTFOLIO MANAGER INSIDER TRADING CASE

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FROM:  SECURITIES AND EXCHANGE COMMISSION  SEC Charges Tipper of Confidential Information to S.A.C. Capital Portfolio Manager On July 30,...
Monday, July 8, 2013

THREE CHARGED WITH INSIDER TRADING ON DOW CHEMICAL ROHM & HASS ACQUISITION

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FROM: U.S. SECURITES AND EXCHANGE COMMISSION SEC Charges Three with Insider Trading On Confidential Acquisition Negotiations Between ...
Saturday, March 23, 2013

SEC CHARGES MAN WITH INSIDER TRADING WHILE MANAGING HEDGE FUNDS

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION   Washington, D.C., March 21, 2013 — The Securities and Exchange Commission today char...
Sunday, February 10, 2013

SEC CHARGED IT SPECIALISTS WITH INSIDER TRADING

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION The Securities and Exchange Commission charged two information technology specialists ...
Saturday, October 6, 2012

DARK POOL OPERATOR AGREES TO PAY $800,000 PENALTY

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C., Oct. 3, 2012 — The Securities and Exchange Commission today charged ...