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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 Advisory Firm Owner Tibor Klein and Stockbroker Michael Shechtman with Insider Trading Ahead of Merger Announcement
SEC v. Tibor Klein and Michel R. Shechtman, Case No. 9:13-cv-80954 (S.D. Fla.). On September 20, 2013, the SEC announced insider trading charges against Tibor Klein, president of Klein Financial Services and his stockbroker friend Michael Shechtman. The SEC alleges … Continue reading
SEC Charges Joseph Tocci with Insider Trading
SEC v. Joseph M. Tocci, Case No. 1:13-cv-11924 (D. Mass.). On August 12, 2013, the SEC announced insider trading charges against Joseph M. Tocci. The SEC alleges that Tocci traded on the basis of confidential information he obtained when he … Continue reading
SEC Charges Green Former Green Mountain Coffee Employee Chad McGinnis and His Friend Sergey Pugach
SEC v. Chad C. McGinnis and Sergey Pugach, Case No. 3:13-cv-1047 AVC (D. Conn.). On August 2, 2013, the SEC announced insider trading charges against former Green Mountain Coffee Employee Chad McGinnis and his friend Sergey Pugach. According to the … Continue reading
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Tagged Insider Trading, SEC, Securities Act, Securities Exchange Act
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SEC Charges Cedric Cañas Maillard and Julio Marín Ugedo with Insider Trading
SEC v. Cedric Cañas Maillard and Julio Marín Ugedo, Case No. 13-cv-5299 (S.D.N.Y.). On July 31, 2013, the SEC announced insider trading charges against Cedric Cañas Maillard, a former executive advisor to the CEO of Spanish bank Banco Santander S.A., … Continue reading
SEC Charges Sandeep Aggarwal With Tipping S.A.C. Capital Portfolio Manager
SEC v. Richard Lee and Sandeep Aggarwal, Case No. 13-cv-5185 RMB (S.D.N.Y.). On July 30, 2013, the SEC announced it amended the complaint filed last week against S.A.C. portfolio manager Richard Lee to add charges that Sandeep Aggarwal tipped Lee. … Continue reading
SEC Freezes Assets of Insider Traders in Onyx Pharmaceuticals Options
SEC v. One or More Unknown Traders in the Securities of Onyx Pharmaceuticals, Inc., Case No. 13 CIV 4645 (S.D.N.Y.). On July 9, 2013, the SEC announced it obtained an emergency court order to freeze the assets of traders using … Continue reading
SEC Settles Insider Trading Case with former Yahoo Executive Robert Kwok
SEC v. Reema D, Shah and Robert W, Kwok, Case No. 12-cv-430 (S.D.N.Y.). On June 12, 2013, the SEC announced it settled insider trading charges against former Yahoo executive Robert Kwok in a case filed last year. The SEC alleged … Continue reading
SEC Charges Brothers Leslie Jacobs II and Andrew Jacobs in Eighth Insider Trading Case Related to Sanofi-Aventis’ of Chattem
SEC v. Jacobs, Case No. 1:13-cv-1289 (N.D. Ohio). On June 11, 2013, the SEC announced it filed insider trading charges against Andrew W. Jacobs (“A. Jacobs”) and Leslie J. Jacobs II (“L. Jacobs”). The SEC alleges that when French pharmaceutical … Continue reading
SEC Charges Whittier Trust and Fund Manager Victor Dosti with Insider Trading
SEC v. Victor Dosti and Whittier Trust Co (S.D.N.Y). On June 7, 2013, the SEC announced it filed a complaint in the Southern District of New York charging Victor Dosti and Whittier Trust Company with insider trading. According to the … Continue reading
Posted in Securities
Tagged Insider Trading, SEC, Securities Act, Securities Exchange Act
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SEC Freezes the Assets of Badin Rungruangnavarat for Insider Trading Before Smithfield Foods Acquisition Announcement
SEC v. Badin Rungruangnavarat, Case No. 13-cv-4172 (N.D. Il.). On June 6, 2013, the SEC announced it obtained an emergency order freezing the assets of Badin Rungruangnavarat who is in Bangkok, Thailand. The SEC alleges that Rungruangnavarat bought out-of-the-money Smithfield … Continue reading
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