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By Securities Docket on September 6, 2013, 8:30 am
Get caught up with the Securities Docket News Wire for September 5, 2013.
By Securities Docket on September 6, 2013, 8:12 am
The Securities and Exchange Commission today announced that a Bangkok-based trader whose U.S. brokerage account was frozen in an SEC emergency action in June has agreed to pay $5.2 million to settle charges that he traded on inside information in advance of a public announcement about a proposed acquisition of Smithfield Foods by a firm […]
By Securities Docket on September 6, 2013, 7:41 am
A California man’s conviction this week for obstructing an SEC investigation is the latest reminder that although the SEC is a civil agency, it is still possible for someone being investigated to botch things so badly that federal criminal prosecutors also get involved. via Traders, Don’t Turn Your Telephone Interview With the SEC Into a […]