Showing posts with label INSIDER TRADING. Show all posts
Showing posts with label INSIDER TRADING. Show all posts
Wednesday, August 26, 2015

SEC CHARGES FORMER BANK ANALYST AND OTHERS WITH INSIDER TRADING IN FRONT OF CLIENTS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  SEC Charges Former Investment Bank Analyst and Two Others With Insider Trading in Advance...
Sunday, August 23, 2015

SEC ANNOUNCES MAN CONVICTED OF INSIDER TRADING RECEIVES HOME CONFINEMENT SENTENCE

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Litigation Release No. 23323 / August 19, 2015 Securities and Exchange Commission v. Er...
Sunday, August 16, 2015

SEC FILES CASE AGAINST FORMER BANK OFFICIAL

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Litigation Release No. 23316 / August 13, 2015 Securities and Exchange Commission v. Ce...
Thursday, July 23, 2015

SEC CHARGES ATTORNEY WITH INSIDER TRADING IN ADVANCE OF MERGER ANNOUNCEMENT

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  07/16/2015 02:10 PM EDT The Securities and Exchange Commission charged a Pennsylvania a...
Wednesday, July 8, 2015

SEC ANNOUNCES CRIMINAL CONVICTION OF INDIVIDUAL INVOLVED WITH AMATEUR GOLFER INSIDER TRADING CASE

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Litigation Release No. 23289 / June 17, 2015 Securities and Exchange Commission v. Eric...
Wednesday, June 17, 2015

SEC ANNOUNCES THAT A SWISS TRADER WILL PAY OVER $2.8 MILLION TO SETTLE INSIDER TRADING CHARGES

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION 06/15/2015 12:50 PM EDT The Securities and Exchange Commission announced that a Swiss tr...
Monday, June 15, 2015

SEC CHARGES THREE WITH INSIDER TRADING RELATED TO STOCK,OPTIONS OF BIOTECH COMPANY

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  06/09/2015 03:00 PM EDT The Securities and Exchange Commission charged three men living...
Friday, June 12, 2015

SEC ANNOUNCES FOUR CHARGED INCLUDING BANK DIRECTOR FOR ROLES IN INSIDER TRADING CASE

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Litigation Release No. 23278 / June 8, 2015 Securities and Exchange Commission v. Antho...
Sunday, June 7, 2015

FOUR CHARGED BY SEC WITH INSIDER TRADING AND STEALING CONFIDENTIAL INFORMATION

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  06/03/2015 10:45 AM EDT The Securities and Exchange Commission announced insider tradin...
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 ...
Tuesday, May 26, 2015

MICROSOFT EMPLOYEE AND FRIEND RESOLVE ALLEGATIONS OF INSIDER TRADING

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION Litigation ReleaSe No. 23261 / May 14, 2015 Securities and Exchange Commission v. Brian ...
Saturday, May 23, 2015

SEC CHARGED FATHER AND SON WITH CONDUCTING SERIAL INSIDER TRADING VIA GOLF DISCUSSIONS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  05/14/2015 03:40 PM EDT The Securities and Exchange Commission today charged a father a...
Thursday, May 14, 2015

TWO CHARGED BY SEC FOR INSIDER TRADING CHINESE INTERNET COMPANY

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23249 / April 29, 2015 Securities and Exchange Commission v. Xiao...
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...
Tuesday, February 24, 2015

SEC CHARGES FORMER EXEC. OF FORTUNE 500 COMPANY WITH INSIDER TRADING

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  02/19/2015 03:20 PM EST The Securities and Exchange Commission announced insider tradin...
Wednesday, February 18, 2015

SEC ANNOUNCES CHARGES AGAINST MANY FOR INSIDER TRADING OBTAINED FROM A FRIEND OF A COMPANY EXECUTIVE

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission announced charges against an Atlanta resident accu...
Wednesday, February 11, 2015

SEC CHARGES 4 WITH HAVING ROLES IN INSIDER TRADING RING SCHEME

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  02/05/2015 12:45 PM EST The Securities and Exchange Commission today charged a stock re...
Sunday, February 8, 2015

SEC CHARGES MAN WITH TRADING BASED ON NONPUBLIC INFORMATION

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23187 / February 3, 2015 Securities and Exchange Commission v. Jo...
Wednesday, December 17, 2014

FUND MANAGER SETTLES SEC INSIDER TRADING CASE

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23151 / December 8, 2014 Securities and Exchange Commission v. Re...
Monday, December 15, 2014

SEC ANNOUNCES GUILTY PLEA TO CRIMINAL CHARGES IN INSIDER TRADING CASE

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Litigation Release No. 23150 / December 5, 2014 USA v. John Patrick O'Neill, Case N...