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By Securities Docket on September 3, 2014, 3:41 pm
New details on the FBI’s investigation of Michael Lucarelli for insider trading reveal an extraordinary search of a locked briefcase and an interesting question about how quickly the government should have moved to make an arrest. via The FBI’s Interesting Endgame with Michael Lucarelli | Compliance Week
By Securities Docket on April 18, 2014, 9:09 am
The revaluation of the subpoenas from Eric Schneiderman’s office, first reported by the Wall Street Journal, brings to at least four the number of agencies probing what the New York Attorney general has described as “Insider Trading 2.0.” Other entities investigating whether Wall Street firms are taking advantage of “differences in delays, or latencies, of […]
By Securities Docket on April 12, 2013, 11:58 am
Before you accept that envelope stuffed with cash in exchange for inside information about public companies, just remember that sometimes it is a set-up.
By Securities Docket on February 28, 2013, 10:24 am
Further proof that selling stolen, pre-release earnings report information about a company is a foolish, “Go Directly to Jail”-type of offense.
By Securities Docket on January 14, 2013, 8:04 am
Please join Joe Dooley, Keith Slotter and John Carney for this webcast.
By Securities Docket on January 8, 2013, 11:43 am
What do phrases such as “nobody will find out,” “grey area,”and “they owe it to me” have in common? According to research conducted by Ernst & Young in collaboration with the FBI, these phrases are among the top terms used by employees in emails discussing fraud…. via ‘They Owe It to Me’: FBI Identifies Top Email […]
By Securities Docket on October 3, 2012, 12:58 pm
FBI says number of new FBI investigations into insider trading was up 43 percent nationwide for fiscal year ending Sept. 30.
By Securities Docket on July 17, 2012, 12:53 pm
Brooks will supervise units including the securities and commodities fraud squads.
By Securities Docket on March 1, 2012, 8:48 pm
FBI has identified 120 “targets” in insider trading investigations, and another “120 subjects.”
By Securities Docket on January 27, 2012, 8:15 pm
FBI reportedly searches offices of New York Global Group, which has played a role in Chinese reverse mergers.