‘Enforcement 40’ for 2020
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By Securities Docket on March 15, 2017, 1:24 pm
The SEC’s order finds that through his work at an independent audit firm, Nima Hedayati learned that Fremont, Calif.-based Lam Research Corporation was making preparations to acquire Milpitas, Calif.-based KLA-Tencor Corporation. The two companies manufacture equipment used in the creation of semiconductors. via Auditor Charged With Insider Trading on Client’s Nonpublic Information — SEC Press Release
By Securities Docket on March 15, 2017, 9:00 am
Scott London, a senior partner at a Big 4 accounting firm, shared inside secrets to help a buddy in a tight financial spot. After following the rules for 26 years, why would he commit fraud? Insider traders — mostly males — do it for the money, of course, but they’re also influenced by hubris, feelings […]