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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: Insider Trading
SEC Charges Microsoft Manager Brian Jorgenson and his Friend Sean Stokke with Insider Trading
SEC v. Brian D. Jorgenson and Sean T. Stokke, Case No. 2:13-cv-02275 (W.D. Wash.). On December 19, 2013, the SEC announced insider trading charges against Brian D. Jorgenson and Sean T. Stokke. According to the SEC, Jorgenson got confidential information … Continue reading
SEC Settles Insider Trading Case against Charles Langston III
SEC v. Charles Raymond Langston III et al., Case No. 1:13-cv-24360 (S.D. Fla.) On December 3, 2013, the SEC announced the filing of a settled insider trading case against Charles Raymond Langston III. The SEC also charged his companies with … Continue reading
Posted in Securities
Tagged Insider Trading, SEC, Securities Act, Securities Exchange Act
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SEC Charges Sam Miri with Insider Trading in Connection with the Galleon Trading Scheme
SEC v. Sam Miri, Case No. 13-cv-8324 (S.D.N.Y.). On November 21, 2013, the SEC announced insider trading charges against Sam Miri, a former employee at Marvell Technology group for tipping inside information used in connection with Raj Rajaratnam’s insider trading … Continue reading
Posted in Securities
Tagged Hedge Fund, Insider Trading, SEC, Securities Exchange Act
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SEC Charges Mark Megalli with Insider Trading
SEC v. Mark Megalli, (N.D. Ga.). On November 14, 2013, the SEC announced it filed insider trading charges against Mark Megalli for trading on nonpublic information about clothing company Carter’s Inc. According to the SEC, Megalli got inside information through a … Continue reading
Posted in Securities
Tagged Fraud, Hedge Fund, Insider Trading, SEC, Securities Act, Securities Exchange Act
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SEC Charges Dennis Rosenberg with Insider Trading
SEC v. Dennis S. Rosenberg, Case No. 1:13-cv-3559-AT (N.D. Ga.). On October 29, 2013, the SEC announced insider trading charges against Dennis Rosenberg (“Rosenberg”) for trading in the securities of Carter’s Inc. (“Carter’s”). According to the SEC, Rosenberg would trade … Continue reading
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Tagged Insider Trading, SEC, Securities Act, Securities Exchange Act
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SEC Settles with Previously Unknown Insider Traders Michel and Rodrigo Terpins
SEC v. Michel Terpins and Rodrigo Terpins, Case No. 13-cv-1080 JSR (S.D.N.Y.). On October 10, 2013, the SEC announced that brothers Michel and Rodrigo Terpins have agreed to pay almost $5 million to settle insider trading charges for trading in … Continue reading
Mark Cuban Tells His Side of the Story in Insider Trading Trial
Mark Cuban tells his side of the story in the high-profile SEC trial.
SEC Charges Filmmaker Lawrence Robbins with Insider Trading
SEC v. Lawrence J. Robbins, (S.D.N.Y.). On September 23, 2013, the SEC announced insider trading charges against independent filmmaker Lawrence Robbins. According to the SEC, Robbins traded in Millennium Pharmaceuticals Inc. and Sepracor Inc. securities based on inside information that … Continue reading
SEC Charges Former Qualcomm Executive Jing Wang and his Financial Advisor Gary Yin with Insider Trading
SEC v. Jing Wang and Gary Yin, Case No. 3:13-cv-02270-L-WVG (S.D. Cal.). On September 23, 2013, the SEC announced insider trading charges against former Qualcomm executive Jing Wang and his financial adviser Gary Yin for trading ahead of major announcements … Continue reading
SEC Charges Kieran Taylor for Role in Rajaratnam Insider Trading Scheme
SEC v. Kieran Taylor, Case No. 13-cv-6670 (S.D.N.Y.). On September 20, 2013, the SEC filed insider trading charges against Kieran Taylor alleging he got confidential information indicating that Akamai would fall short of previous revenue projections it made publicly. Akamai … Continue reading
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Tagged Insider Trading, SEC, Securities Act, Securities Exchange Act
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Securities Enforcement Blog 