Showing posts with label NONPUBLIC INFORMATION. Show all posts
Showing posts with label NONPUBLIC INFORMATION. Show all posts
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...
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...
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...
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...
Tuesday, October 28, 2014

SEC CHARGES HEDGE FUND MANAGER WITH INSIDER TRADING USING MATERIAL, NONPUBLIC INFORMATION IN ADVANCE OF NEWS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Litigation Release No. 23118 / October 24, 2014 Securities and Exchange Commission v. S...
Friday, June 27, 2014

2 MORE CHARGED BY SEC WITH INSIDER TRADING IN SPSS INC. ACQUISITION BY IBM CASE

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION The Securities and Exchange Commission today announced it has charged two additional broker...
Wednesday, May 14, 2014

SOFTWARE COMPANY FOUNDERS SETTLE SEC CHARGES OF INSIDER TRADING AHEAD OF SALE

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FROM:  SECURITIES AND EXCHANGE COMMISSION  Three Software Company Founders to Pay $5.8 Million to Settle Charges of Insider Trading Ahead o...
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, ...
Sunday, March 16, 2014

SEC CHARGES FORMER ANALYST OF INSIDER TRADING

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FROM:  SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission today charged a former analyst at an affiliate of hedge ...
Sunday, January 19, 2014

BURGER KING STOCK INSIDE TRADER ORDERED TO PAY $5.6 MILLION

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FROM:  SECURITIES AND EXCHANGE COMMISSION  Former Stockbroker Ordered to Pay $5.6 Million for Insider Trader in Burger King Stock The Sec...
Monday, December 30, 2013

MICROSOFT SENIOR MANAGER CHARGED BY SEC WITH INSIDER TRADING

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  SEC Charges Microsoft Senior Manager and Friend with Insider Trading in Advance of Company ...
Monday, November 5, 2012

FORMER SILICON VALLEY EXECUTIVE SETTLES CHARGES WITH SEC

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Former Silicon Valley Executive to Pay $1.75 Million to Settle Insider Trading Charges...
Monday, August 27, 2012

ALLEGED INSIDER TRADING USING NONPUBLIC INFORMATION

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION, SEC Charges Eric Martin, former Vice President of Investor Relations of Carter’s Inc. ...