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- SEC Charges Microsoft Manager Brian Jorgenson and his Friend Sean Stokke with Insider Trading
- SEC Obtains Emergency Relief against Robert Helms and Janniece Kaelin in Alleged Ponzi Scheme
- SEC Charges Fifth Third Bancorp and its Former CFO Daniel Poston with Fraud for Accounting Practices during the Financial Crisis
- SEC Settles Insider Trading Case against Charles Langston III
- SEC Settles Penny Stock Case Against Curt Kramer for $1.4 Million
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Tag Archives: illegal trades
Level Global Settles SEC Insider Trading Case for $21.5 Million
SEC v. Adondakis et al., Case No. 12 Civ. 0409 HB (S.D.N.Y). On April 30, 2013, the SEC announced it settled insider trading charges against Level Global Investors LP. In January 2012, the SEC filed insider trading charges against Level … Continue reading
Posted in Securities
Tagged Hedge Fund, illegal trades, Insider Trading, SEC, Securities Act, Securities Exchange Act
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SEC Charges Financial Adviser Kevin Dowd with Tipping Insider Information
SEC v. Kevin L. Dowd. On January 25, 2013, the SEC announced charges in New Jersey Federal Court against Kevin Dowd for illegally tipping inside information. The SEC alleges that Dowd learned about the acquisition of Pharmasset Inc. by Gilead … Continue reading
Posted in Securities
Tagged illegal trades, Insider Trading, SEC, Securities Exchange Act
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SEC Charges Hyung Lim With Insider Trading For Tipping Hedge Fund Manager
SEC v. Hyung Lim, Case No. 12-CV-6707 (S.D.N.Y.). On September 4, 2012, the SEC charged Hyung Lim with insider trading. Lim obtained information about Nvidia Corporation’s quarterly earnings announcements from a friend who worked there. Lim would then tip hedge … Continue reading
Posted in Securities
Tagged Fraud, Hedge Fund, illegal trades, Insider Trading, SEC, Securities Act, Securities Exchange Act
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SEC Charges Bristol-Myers Squibb Co. Executive Robert Ramnarine With Insider Trading
SEC v. Robert D. Ramnarine, Case No. 2:12-cv-04837-SDW-MCA. On August 2, 2012, the SEC announced insider trading charges against Robert Ramnarine, a high-level executive in the treasury department at Bristol-Myers Squibb Co. After getting material nonpublic information regarding the potential … Continue reading
Posted in Securities
Tagged bristol myers squibb, Fraud, illegal trades, Insider Trading, ramnarine, SEC, Securities Act, Securities Exchange Act
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SEC Charges Fund Manager Peter Siris and Others With Fraud Related to Chinese Reverse Merger Company
SEC v. Peter Siris, et al.; SEC v. Alan Sheinwald, et al.; In the Matter of Peter Dong Zhou; In the Matter of Stephen Mazuchowski (A/K/A Steve Mazur); In the Matter of James Fuld, Jr. On July 30, 2012, the … Continue reading
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