Tag Archives: Insider Trading

SEC v. Igor Poteroba, Aleksey Koval, Alexander Vorobiev, and Relief Defendants Tatiana Vorobieva and Anjali Walter, Case No. 1:10-CV-2667 (AKH) (S.D.N.Y.).  On February 13, 2013, the SEC announced it had obtained default judgments against Alexander Vorobiev (“Vorobiev”) and his wife, relief defendant … Continue reading →

SEC v. Steven Harrold, Case No. CV 12-1959 GW (JCx) (C.D. Cal.).  On February 6, 2013, the SEC announced that it settled insider trading charges against Steven Harrold, a former executive at a Coca-Cola bottling company.  In its complaint filed … Continue reading →

SEC v. James Balchan, Case No. 4:13-cv-00298 (S.D. Tx.).  On February 6, 2013, the SEC announced that it filed insider trading charges against James Balchan for trading ahead of the acquisition of National Semiconductor after he misappropriated confidential information from … Continue reading →

SEC v. Patrick M. Carroll, James P. Carroll, William T. Carroll, David Mark Calcutt, Christopher Calcutt, David Stitt, John Monroe and Stephen Somers, Case No. 3:11-cv-165-H.  On February 5, 2013, the SEC announced that it settled insider trading charges in … Continue reading →

SEC v. John M. Darden III, Case No. 1:13-cv-00138-ODE (D. Ga.).  On January 17, 2013, the SEC announced it filed a settled insider trading case against John M. Darden III.  The SEC alleges that Darden obtained inside information about a … Continue reading →

SEC v. John Femenia, et al., Case No. 3:12-cv-803 GCM (W.D. NC).  On December 5, 2012, the SEC announced insider trading charges against Wells Fargo investment Banker John W. Femenia and Aaron M. Wens, Matthew Musante, Anthony Musante, Shawn Hegedus, Danielle … Continue reading →

SEC v. I. Joseph Massoud, Case No. 3:12-cv-01691 (D. Ct.).  On November 30, 2012, the SEC announced insider trading charges against I. Joseph Massoud.  The SEC alleges that Massoud traded ahead of the sale of Patriot Capital Funding based on … Continue reading →