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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 H. Thomas Davis, Jr., Kenneth Wrangell and Mark Badgett With Insider Trading
On September 20, 2012, the SEC brought three separate insider trading cases related to an illegal tip about an impending merger. The SEC alleges that H. Thomas Davis, Jr., breached his fiduciary duty to Mercer Insurance Group by passing on … Continue reading
SEC Freezes Assets of Waldyr De Silva Prado Neto in Connection with Insider Trading of Burger King Stock
SEC v. Waldyr De Silva Prado Neto, Case No. 12 CIV 7094 (S.D.N.Y.). On September 20, 2012, the SEC announced it obtained an emergency court order to freeze the assets of a stockbroker who used nonpublic information from a customer … Continue reading
SEC Files Settled Insider Trading Case Against Pharmaceutical Company Executive Arthur Reed And His Father-In-Law Allan Derusha
SEC v. Arthur H. Reed and Allan F. Derusha, Case No. 1:12-cv-07119 (N.D. Ill.). On September 6, 2012, the SEC filed settled insider trading charges against Arthur Reed, who was the Director of Contract Marketing for APP Pharmaceuticals, Inc., and … Continue reading
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 Georgia Accountant and Several Others with Insider Trading
SEC v. Melvin, Case No. 1:12-cv-02984 (N.D. Ga.); SEC v. Berry, Case No. 1:12-cv-02985 (N.D. Ga.); SEC v. Coots, Case No. 1:12-cv-02986 (N.D. Ga.); SEC v. Jackson, Case No. 1:12-cv-02987 (N.D. Ga. Filed Aug. 28, 2012); SEC v. Rooks, Case … Continue reading
Hedge Fund Manager James F. Turner And His Firm Ordered to Disgorge $2 Million In Profits From Insider Trading
Securities and Exchange Commission v. Clay Capital Management, LLC, et al., Case No. 2:11-cv-05020-DMC-JAD (D.N.J.). On August 29, 2012, the SEC announced it obtained final judgments against Clay Capital Management, LLC and its former Chief Investment Officer, James F. Turner II, … Continue reading
Posted in Securities
Tagged Fraud, Hedge Fund, Insider Trading, SEC, Securities Act, Securities Exchange Act
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SEC Charges Eric Martin With Insider Trading
SEC v. Eric Martin, Defendant and Robin Martin, Relief Defendant, Case No. 1:12-CV-02922-AT (N.D. Ga.). On August 23, 2012, the SEC charged Eric Martin with insider trading. Martin served as the Vice President of Investor Relations for Carter’s Inc. He … Continue reading
SEC Files Settled Insider Trading Case Against James Lieberman
SEC v. James L. Lieberman, Civil Action No. 1:12-cv-02198 (D. Colo.). The SEC is continuing its focus on insider trading, announcing on August 21 that it filed insider trading charges against James L. Lieberman. Lieberman traded Array BioPharma Inc. stock based … Continue reading
SEC Charges Former Professional Baseball Player Eddie Murray And Others With Insider Trading
Securities and Exchange Commission v. James V. Mazzo, David L. Parker and Eddie C. Murray, Case No. SACV-121327JST-(JPRX) (C.D. Cal. Aug. 17, 2011). A little more than a year ago, the SEC charged former professional baseball player Doug DeCinces and … Continue reading
SEC Freezes Another $6 Million in Nexen Insider Trading Case
Recently I blogged about the SEC freezing assets in connection with the acquisition of Nexen by Chinese energy company CNOOC Limited (“CNOOC”). In late July 2012, the SEC filed a complaint alleging that Hong Kong-based Well Advantage Limited and other unknown traders … Continue reading
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