• Home
  • About
  • ‘Enforcement 40’ for 2020
  • Webcasts
  • Enforcement Hall of Fame
  • Contact
Securities Docket
FTI 480x60
  • Class Actions
  • Criminal
  • Global
  • People
  • SD Insider
  • SEC
  • Video
  • Subscribe by email
  • Subscribe
Browse: Home / Insider Trading

Insider Trading

SEC Obtains Asset Freeze Against Idaho Residents in Trading Scheme

By Securities Docket on May 5, 2022, 8:19 am

The SEC’s complaint, filed in federal court in New York, alleges that since at least November 2020, David Lee Stone has used deceptive means to obtain pre-release access to stock picks by at least two subscription stock picking services offered by The Motley Fool. According to the complaint, beginning in January 2021, Stone began sharing […]

Posted in SEC, Top | Tagged Insider Trading

“We Know Wrongful Trading When We See It” – Some Observations Concerning the Recent Senate Hearing on the ITPA

By Securities Docket on April 30, 2022, 9:52 am

Earlier this month, the U.S. Senate Committee on Banking, Housing, and Urban Affairs held a hearing on the Insider Trading Prohibition Act (ITPA), which passed the house with bipartisan support in May of last year. Some prominent scholars, like Professor Stephen Bainbridge, have criticized the ITPA as ambiguous in its text and overbroad in its […]

Posted in Regulation, SEC, Top | Tagged Insider Trading, US Congress

Former Mckinsey Partner Sentenced To 24 Months In Prison For Insider Trading Scheme | USAO-SDNY | Department of Justice

By Securities Docket on April 7, 2022, 9:55 am

Between November 2019 and July 2020, and again between April 2021 and September 2021, Goldman Sachs, the investment bank, engaged McKinsey, the management consulting firm, to provide services related to the potential acquisition of GreenSky by Goldman Sachs and the post-acquisition integration of GreenSky.  DIKSHIT was one of the McKinsey partners leading these engagements.  In […]

Posted in Criminal, Top | Tagged Insider Trading, Sentences

No More Insider Trading in Congress – WSJ

By Securities Docket on February 10, 2022, 9:16 am

Congress should do the same. During my time at Goldman Sachs, essentially all employees were banned or heavily discouraged from trading single-name stocks in personal accounts. Over the past decade, this has slowly become the norm at Wall Street banks. This wouldn’t be so bad for public officials either. Exchange-traded and index funds offer some […]

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

Congress moves towards banning members from trading stocks

By Securities Docket on February 9, 2022, 11:07 am

House Speaker Nancy Pelosi and Democratic leaders have greenlighted a plan to craft legislation that would ban members of Congress from trading stock, CNBC confirmed on Wednesday. At Pelosi’s direction, the House Administration Committee is working on drafting the rules, and the legislation is expected to be put up for a vote this year, likely […]

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

CoinDesk fixes a CMS leak that may have been used for crypto insider trading – REPORT DOOR

By Securities Docket on February 9, 2022, 10:57 am

CoinDesk has fixed an exploit that allowed anyone to view unpublished headlines, create drafts, and edit articles on the website. In a post on its site, CoinDesk says the vulnerability could’ve let “unidentified actors” view non-public information, allowing them to make trading decisions they could profit from. “The issue is now fixed and added safeguards […]

Posted in Industry, Top | Tagged Cryptocurrency, Insider Trading

Matt Levine’s Money Stuff: Not Everything Is Insider Trading – Bloomberg

By Securities Docket on December 16, 2021, 10:24 am

If your brother-in-law is a senior accounting executive at a public company, and that public company is secretly in negotiations to be acquired at a premium, and your brother-in-law is working on the deal, and you talk to him regularly while the deal is being negotiated, “including by phone, at [your] daughters’ basketball events, and at multiple […]

Posted in Criminal, SEC, Top | Tagged Insider Trading

Galleon Group’s Rajaratnam speaks out after 7 years in prison for insider trading – YouTube

By Securities Docket on December 10, 2021, 12:14 pm

Raj Rajaratnam, founder of Galleon Group, sits down with CNBC in his first interview since being released from prison two years ago to discuss his new book ‘Uneven Justice: The Plot to Sink Galleon’.

Posted in Criminal, Top | Tagged Galleon, Insider Trading

Warren urges SEC to open insider trading probe into Fed Vice Chair Clarida, others

By Securities Docket on October 4, 2021, 6:16 pm

Sen. Elizabeth Warren on Monday urged the Securities and Exchange Commission to investigate whether three Federal Reserve leaders violated insider trading rules in 2020, when they bought and sold assets as the central bank ramped up efforts to save the U.S. economy from economic turmoil. Warren, who sits on the congressional committee that oversees the […]

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

Is Stock Market Rigged? Insider Trading by Executives Is Pervasive, Critics Say – Bloomberg

By Securities Docket on September 29, 2021, 7:47 am

No one is claiming to know if Filler or any of the other TipRanks stars are taking advantage of nonpublic information. Poker legend Doyle “Texas Dolly” Brunson made five final tables in his career, after all, and it’s possible to get lucky enough to flip a coin and hit heads a bunch of times in […]

Posted in Criminal, SEC, Top | Tagged Insider Trading

Next »

Subscribe

‘Enforcement 40’ for 2020

Securities-Docket_Medium-Rectangle_CaseStudyArrow

Our Sponsors

Securities-Docket_260x125_14Sec Ankura 260x125

Join Us On LinkedIn

Join the Securities Litigation and Enforcement Group on LinkedIn

Archives

Copyright © 2022 Securities Docket.

Powered by WordPress and Hybrid.