Casino-gaming company International Game Technology (IGT) has agreed to pay a half-million dollar penalty for firing an employee with several years of positive performance reviews because blew the whistle. The employee reported to senior management and the SEC that the company’s financial statements might be distorted. In its second whistleblower retaliation case since the Dodd-Frank […]
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.
The SEC today announced fraud charges against a Florida man who was part of a scheme to register and sell stock in blank-check companies masked as promising startups to illicitly profit off the investing public. Read: IIROC imposed more sanctions in 2015 The SEC’s order finds that Sheldon R. Rose created more than a dozen […]
Find out why Eric Ben-Artzi, a former Deutsche Bank risk officer, has refused his whistleblower payout.
The SEC has fined a California-based health insurance provider $340,000.
The SEC has brought fraud charges against a hedge fund manager for a scheme involving terminally ill patients.
The SEC has barred a former Goldman Sachs residential mortgage-backed securities (RMBS) trader.
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 […]
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.
The SEC has announced fraud charges against a financial adviser who SEC has accused of taking money without permission from the accounts of several professional athletes.