• Home
  • About
  • ‘Enforcement 40’ for 2020
  • Webcasts
  • Enforcement Hall of Fame
  • Past Events
  • Contact
Securities Docket
  • Class Actions
  • Criminal
  • Events
  • Features
  • Global
  • People
  • SEC
Browse: Home / Expert Networks

Expert Networks

Former Primary Global employee avoids jail in insider case — Reuters

By Securities Docket on October 18, 2013, 7:39 am

A former technology analyst at expert networking firm Primary Global Research LLC avoided jail time on Thursday after a judge praised his “very substantial assistance” in cooperating with a government insider-trading investigation. Bob Nguyen, 34, who pleaded guilty in January 2011 to leaking confidential corporate information to hedge funds, received two years of probation from […]

Posted in Criminal, Top | Tagged Expert Networks, Insider Trading, Probation

Expert Network Exec Arrested for Insider Trading

Expert Network Exec Arrested for Insider Trading

By Securities Docket on June 27, 2012, 12:24 pm

FBI arrests Tai Nguyen of expert firm Insight Research LLC.

Posted in Criminal, Top | Tagged Expert Networks, Insider Trading

Ex-AT&T executive pleads guilty in NY insider case

Ex-AT&T executive pleads guilty in NY insider case

By Securities Docket on June 19, 2012, 12:48 pm

AT&T executive pleads guilty in expert network case.

Posted in Criminal, Top | Tagged Expert Networks, Guilty Pleas, Insider Trading

Expert Networker John Kinnucan Arrested by FBI in Trading Probe

Expert Networker John Kinnucan Arrested by FBI in Trading Probe

By Securities Docket on February 17, 2012, 12:56 pm

Kinnucan claims he refused to secretly record others in U.S. probe of insider trading.

Posted in Criminal, Top | Tagged Arrests, Expert Networks, Insider Trading

Expert-networks rule kicks in Dec. 1

Expert-networks rule kicks in Dec. 1

By Securities Docket on August 9, 2011, 12:08 pm

New Massachusetts regulation governing how hedge funds use expert networks will take effect Dec. 1.

Posted in Industry, SEC, Top | Tagged Expert Networks

Massachusetts to Regulate Expert-Network Firms in Wake of Insider Cases

Massachusetts to Regulate Expert-Network Firms in Wake of Insider Cases

By Securities Docket on April 21, 2011, 3:04 pm

Proposed regulation will require state-registered investment advisers to obtain written certification about confidentiality issues.

Posted in Industry, Top | Tagged Expert Networks

Archived Version and Materials for Mar. 22 Webcast: Insider Trading and the Use of Expert Networks

Archived Version and Materials for Mar. 22 Webcast: Insider Trading and the Use of Expert Networks

By Securities Docket on March 23, 2011, 10:44 am

Robert W. Pommer III and Stephen Prowse, Ph.D joined us for this webcast.

Posted in Uncategorized | Tagged Expert Networks, Webcasts

March 22 Webcast--Insider Trading and the Use of Expert Networks

March 22 Webcast–Insider Trading and the Use of Expert Networks

By Securities Docket on March 3, 2011, 1:50 pm

Please join Robert W. Pommer III and Stephen Prowse, Ph.D, for this free webcast.

Posted in Uncategorized | Tagged Expert Networks, Insider Trading, Webcasts

Subscribe

‘Enforcement 40’ for 2020

Our Sponsors

Securities-Docket_260x125_14Sec

Join Us On LinkedIn

Join the Securities Litigation and Enforcement Group on LinkedIn

Archives

Copyright © 2023 Securities Docket.

  • Home
  • About
  • ‘Enforcement 40’ for 2020
  • Webcasts
  • Enforcement Hall of Fame
  • Contact
  • Criminal
  • Class Actions
  • Features
  • Global
  • People
  • SEC
  • Events