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Browse: Home / Insider Trading

Insider Trading

Brooklyn Man Charged in Long-Running International Insider Trading Scheme | USAO-EDNY | Department of Justice

By Securities Docket on March 24, 2021, 9:54 am

According to the indictment, between November 2015 and October 2020, Peltz and his co-conspirators engaged in a fraudulent scheme by which they obtained MNPI about publicly traded companies from a variety of sources, including a corporate insider and a reporter at a financial news organization (the “Reporter”).  Peltz and his co-conspirators allegedly used the MNPI […]

Posted in Criminal, Top | Tagged Insider Trading

The Sure Thing podcast: ‘It was just chaos’: The day police cracked an $8 million scam

By Securities Docket on February 23, 2021, 9:00 am

One of the men behind Australia’s biggest insider trading case has broken his silence, detailing his role in a heist of almost $8 million involving secret accounts, betrayal and a police chase resembling a mafia sting. Christopher Hill, who worked at the Australian Bureau of Statistics at the time, and passed confidential information to NAB […]

Posted in Global, Industry, Top, Uncategorized | Tagged Australia, Insider Trading, Podcasts

Former Goldman Sachs analyst and brother charged with insider dealing | Financial Conduct Authority | The Guardian

By Securities Docket on February 16, 2021, 10:42 am

Two brothers who worked at Goldman Sachs and leading City law firm Clifford Chance have appeared in court charged with insider dealing and fraud. Mohammed Zina, 32, who worked as an analyst at Goldman Sachs, and his brother Suhail Zina, 33, who worked as a solicitor at Clifford Chance, appeared at Westminster magistrates court on […]

Posted in Global, Top | Tagged Insider Trading, UK

It’s Time for Senators, House Members to Divest Stocks in Individual Publicly Traded Companies

By Securities Docket on January 6, 2021, 9:51 am

Members of Congress over the years have introduced bills that would prohibit senators, representatives, and their senior staff from owning securities of individual publicly traded companies. Neither the House nor the Senate has passed such a law. As we urged in a letter we sent to House and Senate leadership recently , Congress should do […]

Posted in Industry, Top | Tagged Insider Trading, US Congress

Dystopian Future Securities Fraud – Bloomberg

By Securities Docket on January 5, 2021, 2:28 pm

So we have talked about allegations that Senator Richard Burr did something wrong when he dumped stocks after receiving Intelligence Committee briefings about the coronavirus in February. There was a factual dispute about what secret information Burr did or did not receive in those briefings, and about whether or not he traded based on it, […]

Posted in Criminal, SEC, Top | Tagged Insider Trading

First the Cyberattack Hits. Then the Insider Trading. | Institutional Investor

By Securities Docket on January 5, 2021, 12:46 pm

When companies get hacked, do their own employees and informed outsiders use that information in trading before the breach is disclosed? The answer is yes, according to our latest research. Source: First the Cyberattack Hits. Then the Insider Trading. | Institutional Investor

Posted in Industry, SEC, Top | Tagged Cyberattacks, Insider Trading

Critics outraged, Republicans silent as Trump pardons ex-Rep. Chris Collins | buffalonews.com

By Securities Docket on December 24, 2020, 11:09 am

President Trump on Tuesday pardoned former Rep. Chris Collins, who was imprisoned in October after pleading guilty to felony insider trading charges. The early evening pardon prompted outrage from Collins’ critics and dead silence from Trump’s fellow Republicans. “Today, President Trump granted a full pardon to Chris Collins, at the request of many Members of […]

Posted in Criminal, Top | Tagged Insider Trading, Pardons

Pair convicted of insider trading lose appeal – FTAdviser.com

By Securities Docket on December 18, 2020, 10:35 am

A former UBS compliance officer and her family friend have had their appeals against insider trading convictions quashed by the court. In June last year Fabiana Abdel-Malek and Walid Choucair were each convicted of five offences of insider dealing and sentenced to three years in prison at Southwark Crown Court. The case was brought by the Financial Conduct Authority […]

Posted in Global, Top | Tagged Insider Trading, UK

SEC Charges Former Controller of Now-Bankrupt Company with Insider Trading

By Securities Docket on November 6, 2020, 1:32 pm

The Securities and Exchange Commission today charged Edward T. Kelly, the former Controller of Aceto Corporation, with insider trading. According to the SEC’s complaint, after Kelly retired from Aceto in March 2018, the company formally retained him as a consultant to assist in closing Aceto’s books for the quarter ending March 31, 2018. While working […]

Posted in SEC, Top | Tagged Insider Trading

Banker Deletes WhatsApp From iPhone and Skirts Insider Trading Charge in London – Bloomberg

By Securities Docket on October 1, 2020, 8:42 am

“It’s a difficult offense to prosecute, and more difficult these days because of the way people communicate with each other,” said Tim Thomas, who formerly worked at the FCA on enforcement cases. “If individuals are smart enough to use Whatsapp or Signal and then delete communications, it becomes very difficult to prosecute.” via Banker Deletes […]

Posted in Global, Top | Tagged Insider Trading, UK

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