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By Securities Docket on October 3, 2013, 4:22 pm
Citigroup will pay a $30 million fine to Massachusetts to settle charges that one of its analysts offered unpublished research related to orders for Apple smartphones to hedge funds and other select clients, including SAC Capital Advisors. via Citigroup to Pay $30 Million Fine for Disclosure of Unpublished Research – DealBook
By Securities Docket on October 3, 2013, 8:30 am
Get caught up with the Securities Docket News Wire for October 2, 2013.
By Securities Docket on October 3, 2013, 8:14 am
Commentators, employers and especially whistleblowers have paid a tremendous amount of attention to the whistleblower bounty provisions of the Dodd-Frank Act. Much less attention has been paid to an SEC rule implementing the anti-retaliation provisions of that Act, giving the SEC enforcement authority against employers who retaliate against their whistleblowing employees. The SEC has not […]