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Insider Trading

Securities Exchange Commission

SEC Charges Board Member With Insider Trading During and After Board Meeting

24/10/2016(0)
The Securities and Exchange Commission today charged a Tennessee-based lawyer who served on the executive committee of the board of directors at Nashville-based Pinnacle Financial Partners with insider trading ... Read More
JPMorgan

Ex-JPMorgan vice president guilty on 9 counts of insider trading

18/08/2016(0)
Ex-JPMorgan Chase V.P. guilty on 9 counts of insider trading in father’s $1M windfall Sean Stewart, a former investment vice president at JPMorgan Chase, helped his father and others ... Read More
finra-hdqrtrs_0

FINRA Fines Deutsche Bank Securities Inc. $6 Million

30/06/2016(0)
The Financial Industry Regulatory Authority (FINRA) today announced it has fined Deutsche Bank Securities Inc. $6 million for failing to provide complete and accurate trade data in an automated ... Read More
ASIC_regulator

Former banker sentenced to two years imprisonment for insider trading

28/06/2016(0)
Former banker, 30-year-old Oliver Curtis was today sentenced to two years imprisonment after being found guilty by a Supreme Court jury earlier this month of conspiring to commit insider ... Read More
sec

Hedge Fund Managers and Former Government Official Charged in $32 Million Insider Trading Scheme

16/06/2016(0)
The Securities and Exchange Commission today announced insider trading charges against two hedge fund managers and their source, a former government official accused of deceptively obtaining confidential information from ... Read More
ASIC_regulator

ASIC targets mid-tier brokers on how they are managing conflicts of interest

02/06/2016(0)
The financial regulator is worried about how mid-tier research and broking firms are managing conflicts of interest. Australian Securities and Investments Commission chairman Greg Medcraft has told a large gathering ... Read More
legal

Hackers Breach Law Firms, Including Cravath, Weil Gotshal

30/03/2016(0)
Federal investigators explore whether cybercriminals stole confidential information to be used for insider trading Hackers broke into the computer networks at some of the country’s most prestigious law firms, ... Read More
FCA_regulator

Former equities trader pleads guilty to insider dealing

16/03/2016(0)
Damian Clarke, a former equities trader at Schroders Investment Management Limited, pleaded guilty at Southwark Crown Court to nine counts of insider trading. He will be sentenced on 13 ... Read More
bank street

Ex-Rabobank Trader Says `Libor Time’ Was Call to Fix Rates

20/10/2015(0)
Second former trader testifying against colleagues at trial Libor tied to more than $350 trillion of loans and securities “It’s Libor time.” That was the call ahead of Rabobank Groep’s ... Read More
london

Six Former Brokers Stand Trial Over Libor

07/10/2015(0)
Court hears brokers helped convicted trader Tom Hayes rig interest rate benchmarks for financial gain Six former brokers with nicknames including “Lord Libor” and “Big Nose” helped convicted bank ... Read More
Broker Cyprus TopFX