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SEC-Insider-Trading

CEO Charged With Using Secret Accounts for Insider Trading in Company Stock

21/09/2017(0)
The Securities and Exchange Commission today charged the former CEO of a Silicon Valley-based fiber optics company with insider trading in company stock by using secret brokerage accounts held ... Read More
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Monex Group released business metrics of April 2017

08/05/2017(0)
Monex Group has issued today a press release to disclose its business metrics for the month April 2017. According the announcement: Monex Group, Inc. (TSE 8698, Oki Matsumoto, Representative ... Read More
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SEC is freezing brokerage accounts holding more than $29 million in illegal profits

13/02/2017(0)
SEC Charges Chinese Citizens Who Reaped Massive Profits From Insider Trading on Comcast-Dreamworks Acquisition Obtains Court Order Freezing More Than $29 Million in U.S. Accounts The Securities and Exchange ... Read More
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FINRA Sanctions Merrill Lynch $7 Million

01/12/2016(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner & Smith Inc. $6.25 million and the firm will pay approximately $780,000 in ... Read More
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FINRA fines financial services company $850,000

19/09/2016(0)
The Financial Industry Regulatory Authority (FINRA) announced that it has fined Ameriprise Financial Services, Inc. $850,000 for failing to detect the conversion of more than $370,000 from five customer ... Read More
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UK-Based Trader charged for hacked into the online brokerage accounts of numerous investors

23/06/2016(0)
The Securities and Exchange Commission today announced it has obtained an emergency court order to freeze the assets of a United Kingdom resident charged with intruding into the online ... Read More
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E*TRADE Financial Corporation announces First Quarter 2016 Results

22/04/2016(0)
First Quarter Results Net income of $153 million, or $0.53 per diluted share Adjusted net income of $122 million(1), or $0.43 per diluted share(1), excluding a $31 million income ... Read More
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