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Join the Securities Litigation and Enforcement Group on LinkedInConnecticut exec flees U.S. after insider trading, fraud claims -SEC | Reuters
A Connecticut venture capital executive accused of insider trading and of cheating his clients out of tens of millions of dollars has fled the country, the U.S. Securities and Exchange Commission said. via Connecticut exec flees U.S. after insider trading, fraud claims -SEC | Reuters.
Australian Stock Trader Tries Out ‘Costanza Defense’ in Sentencing Hearing | Compliance Week
Australian stock trader facing sentencing for insider trading channels his inner George Costanza (“Was that wrong? Should I have not done that?”) via Australian Stock Trader Tries Out ‘Costanza Defense’ in Sentencing Hearing | Compliance Week
Goldman’s New Cop Is FBI Agent Who Put Away Madoff, Rajaratnam – Bloomberg Business
The FBI agent who oversaw the Bernard Madoff investigation and helped pioneer the use of wiretaps that yielded dozens of insider-trading convictions is now working for Goldman Sachs Group Inc. via Goldman’s New Cop Is FBI Agent Who Put Away Madoff, Rajaratnam – Bloomberg Business
Whistleblowers Find SEC Rewards Slow and Scarce – WSJ
Ms. Holtzee’s experience isn’t uncommon: Laywers representing whistleblowers say it is hard to collect bounties in some of the most famously fraud-prone areas policed by the SEC, including penny stocks, pyramid schemes and U.S.-listed Chinese companies. The reason is simple: Those cases are notoriously hard for the SEC to recover sanctions…. via Whistleblowers Find SEC […]