‘Enforcement 40’ for 2020
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By Securities Docket on October 5, 2016, 9:34 am
An investment banker passes along a tip to his brother about upcoming mergers involving his bank’s clients. The brother slips the tip to his brother-in-law, who uses the information to make more than $1 million from trading he did ahead of the deals. There’s no evidence that the banker received compensation for leaking the information, […]