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Securities Docket News Wire for September 5, 2013
Get caught up with the Securities Docket News Wire for September 5, 2013.
Thailand-Based Trader Agrees to Pay $5.2 Million to Settle Insider Trading Case — SEC Press Release
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 […]
Traders, Don’t Turn Your Telephone Interview With the SEC Into a Federal Crime – Compliance Week
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 […]