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Browse: Home / Outsider Trading

Outsider Trading

Russian, Ukrainian defendants among those charged with hacking SEC system in trading scheme – The Washington Post

By Securities Docket on January 15, 2019, 6:43 pm

There has long been disagreement within the SEC and by legal scholars about whether the agency has the authority to pursue these types of charges, said John Reed Stark, who worked for the SEC’s enforcement division for nearly 20 years and founded its former Office of Internet Enforcement. The defendants could argue that they are […]

Posted in Criminal, SEC, Top | Tagged Hackers, Outsider Trading

SEC “Outsider Trading”? Enforcement: The Silence is Deafening | LinkedIn

By Securities Docket on October 23, 2018, 8:40 am

It was just a year or so ago when the SEC learned first-hand what it’s like to experience a data breach.  Like a cardiologist who suffers a heart attack and could uniquely empathize with patients, the SEC, after suffering the EDGAR data breach, could now uniquely empathize with the cybersecurity challenges faced by financial firms. When […]

Posted in SEC, Top | Tagged Outsider Trading

My New LinkedIn Article: A New Era of SEC Enforcement — Policing ‘Outsider Trading’

By Securities Docket on March 7, 2016, 7:45 pm

Today I published an article on LinkedIn (what the heck, I thought I would try LinkedIn as a media outlet) entitled, “A New Era of SEC Enforcement: Policing ‘Outsider Trading.’”  My article brings together, and updates, several of my prior Stark on IR postings concerning the SEC’s foray into so-called “outsider trading.” via My New […]

Posted in SEC, Top | Tagged Outsider Trading

Hacking Case Raises Question on Securities Fraud – The New York Times

By Securities Docket on August 18, 2015, 11:11 am

The elaborate scheme described by the Justice Department and the Securities and Exchange Commission last week, which involved breaking into computer servers to obtain confidential information about impending corporate announcements, certainly looks like a classic case of insider trading. The defendants are accused of making millions of dollars in profits by using information to trade […]

Posted in Criminal, SEC, Top | Tagged Outsider Trading

DOJ, SEC Charge Hackers with Massive ‘Outsider Trading’ Scheme | Compliance Week

By Securities Docket on August 11, 2015, 10:53 am

The DOJ and SEC both announced high-profile cases today against a large group of hackers and traders. The group allegedly carried out an outrageously brazen scheme that involved hacking more than 150,000 confidential press releases from newswires over a five year period in order to execute illegal trades. DOJ, SEC Charge Hackers with Massive ‘Outsider […]

Posted in Criminal, SEC, Top | Tagged Hackers, Outsider Trading

The SEC’S “Outsider Trading” Dragnet — Cybersecurity Docket

By Securities Docket on June 25, 2015, 11:10 am

But suppose instead, a thief, who does not work at Microsoft, breaks into Microsoft headquarters via a basement window at midnight, reads Microsoft’s CFO’s papers about an upcoming positive earnings announcement and then buys Microsoft stock before that announcement.  Is the thief guilty of insider trading?  Historically, the SEC did not charge the thief with […]

Posted in SEC, Top | Tagged Cybersecurity, Insider Trading, Outsider Trading

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