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Browse: Home / Convictions

Convictions

Connecticut cardiologist is convicted of insider trading

By Securities Docket on November 29, 2017, 9:55 am

A federal jury on Tuesday convicted a Connecticut cardiologist of insider trading based on confidential information he learned about a clinical drug trial, prosecutors said on Tuesday. Jurors in Hartford, Connecticut, took roughly four hours to find Edward Kosinski, 70, of Weston, guilty on two counts of securities fraud. via Connecticut cardiologist is convicted of […]

Posted in Criminal, Top | Tagged Convictions, Insider Trading

Defendant in SEC Insider Trading Action Found Guilty by Federal Jury in a Related Criminal Case — SEC Press Release

By Securities Docket on August 18, 2016, 12:28 pm

The SEC’s action, which remains pending, seeks an injunction against Sean Stewart and Robert Stewart from further violations of the charged provisions of the federal securities laws, disgorgement of ill-gotten gains, civil penalties, and an officer and director bar against Robert Stewart. via Defendant in SEC Insider Trading Action Found Guilty by Federal Jury in […]

Posted in Criminal, SEC, Top | Tagged Convictions, Insider Trading

Former Foundry Networks Executive Guilty in Insider-Trading Case – WSJ

By Securities Docket on October 3, 2014, 7:23 am

David Riley, a former executive at Foundry Networks Inc., a computer equipment company, was found guilty on Thursday in Federal District Court in Manhattan on three of four counts for his involvement in an alleged insider-trading scheme in 2008. via Former Foundry Networks Executive Guilty in Insider-Trading Case – WSJ

Posted in Criminal, Top | Tagged Convictions, Insider Trading

Madoff Staff Roundup: Jury Convicts All Five Defendants on All 31 Counts – Compliance Week

By Securities Docket on March 25, 2014, 8:58 am

After four days of deliberations, the 11-person jury hearing the marathon criminal trial against five former members Bernard Madoff’s staff returned its unanimous verdict, finding all five defendants guilty on all of the 31 combined counts. Here are the key facts you need to know. via Madoff Staff Roundup: Jury Convicts All Five Defendants on […]

Posted in Criminal, Top | Tagged Convictions, Madoff, Trials

Martoma faces loss of home, millions in forfeiture — USA Today

By Securities Docket on February 9, 2014, 9:36 am

Mathew Martoma’s criminal insider-trading conviction means the former SAC Capital Portfolio manager not only faces prison, but could forfeit his family’s luxury Florida home and millions of dollars in bank accounts. via Martoma faces loss of home, millions in forfeiture — USA Today

Posted in Criminal, Top | Tagged Convictions, Forfeiture, Insider Trading

Martomo Roundup: SAC Trader Convicted on Two Counts of Securities Fraud, One Count of Conspiracy – Compliance Week

By Securities Docket on February 7, 2014, 9:25 am

Yesterday, a federal jury in Manhattan found Matthew Martomo, a former trader at SAC Capital, guilty on two counts of securities fraud and one count of conspiracy related to an insider trading scheme. The scheme allegedly involved Martomo receiving and trading on inside information he obtained from doctors related to a pharmaceutical trial for an Alzheimer’s drug. Here […]

Posted in Criminal, Top | Tagged Convictions, SAC, Trials

SAC Capital’s Michael Steinberg Convicted in Insider-Trading Case – WSJ.com

By Securities Docket on December 19, 2013, 7:35 am

A jury found a senior employee of SAC Capital Advisors LP guilty of insider trading, a verdict that deals another blow to the giant hedge fund and its billionaire founder, Steven A. Cohen. The guilty verdict for Michael Steinberg came after roughly ten hours of deliberation over two days and could send him to prison. […]

Posted in Criminal, Top | Tagged Convictions, Insider Trading, Trials

Traders, Don’t Turn Your Telephone Interview With the SEC Into a Federal Crime – Compliance Week

By Securities Docket on September 6, 2013, 7:41 am

A California man’s conviction this week for obstructing an SEC investigation is the latest reminder that although the SEC is a civil agency, it is still possible for someone being investigated to botch things so badly that federal criminal prosecutors also get involved. via Traders, Don’t Turn Your Telephone Interview With the SEC Into a […]

Posted in Criminal, SEC, Top | Tagged Convictions, Obstruction

Convictions of Two Accounting Execs May Wrap Up Prosecutions for Stanford Ponzi Scheme

Convictions of Two Accounting Execs May Wrap Up Prosecutions for Stanford Ponzi Scheme

By Securities Docket on November 20, 2012, 5:05 pm

Last two Stanford-related criminal defendants are convicted on 10 felony counts each.

Posted in Criminal, Top | Tagged Convictions, Stanford

Calif. fund founder convicted of insider trading

Calif. fund founder convicted of insider trading

By Securities Docket on August 20, 2012, 7:41 pm

Hedge fund founder Doug Whitman convicted of all charges in insider trading case.

Posted in Criminal, Top | Tagged Convictions

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