Keyword: Insider trading

71 results found
Lawyer

The former investment banker was sentenced to two years in jail

Businessman Holding coffee thinking

The proposal is aimed at preventing insider trading

stack of documents or files, overload of paperwork on black background

The review will look at whether the regulators' approach to ASDPs should be enhanced

A closeup of the lock of a brick jail cell with iron bars and a key in the locking mechanism with the door open

Rodolfo Sablon was part of "multimillion-dollar, multi-pronged scheme"

  • By: Staff
  • April 5, 2019 April 5, 2019
  • 16:48
Lawyer

U.S. authorities say the scheme netted about $30 million in illegal profits

  • By: Staff
  • March 22, 2019 March 22, 2019
  • 10:43
Gavel

At issue was broker's knowledge about an acquisition

  • By: Staff
  • February 6, 2019 February 6, 2019
  • 11:00

The SEC has charged the former senior director of regulatory affairs for Puma Biotechnology with insider trading ahead of the company’s news announcements about its drug to treat breast cancer.

  • By: Staff
  • September 30, 2016 August 21, 2018
  • 00:00

This week the Securities and Exchange Commission announced insider trading charges against two hedge fund managers and their source, a former government official accused of deceptively obtaining confidential information from the U.S. Food and Drug Administration (FDA). A third hedge fund manager working at the same investment advisory firm as the alleged insider traders was […]

  • By: Staff
  • June 16, 2016 August 21, 2018
  • 13:00

The SEC has announced insider trading charges against an investment banker and his close friend, a plumber who allegedly helped remodel his bathroom and put cash in his gym bag in return for illicit tips about upcoming mergers and acquisitions.

  • By: Staff
  • May 31, 2016 August 21, 2018
  • 16:00

The SEC has announced insider trading charges against a research analyst who allegedly reaped more than $1.5 million in February through trades he made in his mother’s brokerage account based on nonpublic information he learned at work.

  • By: Staff
  • April 14, 2016 August 21, 2018
  • 14:40