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SEC’s Boston Office Wants to Hire Wall Street Vets
SEC’s Boston Regional Office wants to beef up its staff with former Wall Street insiders.
Prosecutors Oppose Separate Trials in Galleon Case
Federal prosecutors contest requests by Rajaratnam and Chiesi for separate trials.
Judge Rakoff Refuses to Approve SEC-Schottenfeld Settlement
Court refuses to approve SEC settlement, demanding more information.
Facebook Implements New Insider Trading Policy
Facebook employees now prohibited from selling stock unless within a specified trading window.
Kathleen Griffin Named SEC’s First Chief Compliance Officer
Kathleen Griffin of Putnam Investments named SEC’s first Chief Compliance Officer.
FBI Arrests Five on Charges Related to Insider Trading Scheme
Two investor relation professionals and three other defendants arrested for insider trading scheme.
SEC Considers Requiring Detailed Findings of Investigations in Settlement Agreements
The agency may require detailed findings in settlement agreements.
Kosta Kovachev Sentenced to Nearly Four Years in Prison in Dreier Scheme
Former securities broker who aided Marc Dreier is sentenced.
Stanford Seeks New Attorneys, Again
Stanford requests fourth set of attorneys after disagreement on strategy.
UK: FSA Charges Seven with Insider Trading
FSA claims insider trading ring made £2.5 million in illegal profits.