‘Enforcement 40’ for 2020
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By Securities Docket on August 16, 2017, 11:18 pm
A jury found Jessie Roberts, a Louisiana dentist who claimed what the government called an illegal tip was just a rumor, not guilty of insider trading. U.S. v. Roberts, No. 15-ct-00020 (M.D. La. Filed Feb19, 2015). The case centered on trading in advance of the acquisition of the Shaw Group, Inc. by Chicago Bridge & […]
By Securities Docket on August 16, 2017, 5:26 pm
A Watertown developer who skipped town after his securities-fraud conviction traded time behind bars for life in Puerto Rico, where he was arrested Friday night, according to officials. The arrest by US marshals ended a months-long flight for Robert H. Bray, 79, whose 2016 conviction for insider trading came after decades of working in local […]
By Securities Docket on August 16, 2017, 5:22 pm
The Securities and Exchange Commission today announced insider trading charges against seven individuals who generated millions in profits by trading on confidential information about dozens of impending mergers and acquisitions. Data analysis allowed the SEC’s enforcement staff to uncover the illicit trading despite the traders’ alleged use of shell companies, code words, and an encrypted, […]
By Securities Docket on August 16, 2017, 4:56 pm
Mr. Gupta, the former global head of consulting giant McKinsey & Company, became a pariah among many of the corporate chieftains who once craved his counsel. Now 68, he has been trying to restore his reputation and rebuild his fortune since being released from a federal prison medical center in Devens, Mass. But he has […]
By Securities Docket on August 16, 2017, 10:25 am
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