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Insider Trading

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China Said to Suspect Citic of Insider Trading During Rescue

23/09/2015(0)
Preliminary probe said to find evidence of insider trading Citic says it hasn’t been notified on nature of investigation   A Chinese probe found evidence that Citic Securities Co., the ... Read More
wells-fargo

Ex-Wells Fargo trader beats SEC insider trading charges

15/09/2015(0)
A former Wells Fargo & Co trader on Monday was cleared of insider trading charges brought by the U.S. Securities and Exchange Commission after a major appellate decision limited ... Read More
Merrill Lynch building is shown in downtown San Diego, California

Ex-Merrill Lynch Broker Ordered to Pay Restitution for Insider Trading

26/08/2015(0)
Scheme used offshore brokerage account to make trades based on Qualcomm inside information A former Merrill Lynch broker was ordered to pay $1.4 million in restitution to the brokerage ... Read More
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SEC Pays More Than $3 Million to Whistleblower

20/07/2015(0)
The Securities and Exchange Commission announced a whistleblower award of more than $3 million to a company insider whose information helped the SEC crack a complex fraud. The multi-million dollar ... Read More
Hayes-insider-trading

Libor Brokers Called Hayes Berating ‘Very Upsetting’ in Messages

17/06/2015(0)
Thomas Hayes, the former UBS Group AG and Citigroup Inc., trader accused of rigging Libor, berated brokers and colleagues when things didn’t go his way, according to messages shown ... Read More
ASIC_regulator

Two Sydney men convicted of insider trading

15/06/2015(0)
Two Sydney men, including a former analyst with ratings agency Moody’s, were today convicted of insider trading. In December 2014 Daniel Joffe, of Vaucluse, and Nathan Stromer, of Bondi, ... Read More
SEC- Headquarters

SEC wins asset freeze against Chinese accused of insider trading

30/04/2015(0)
The U.S. Securities Exchange Commission won on Wednesday a court order to freeze the assets of two Chinese nationals accused of insider trading for their “remarkably timed” purchases of ... Read More
Bcsc canada regulator

BCSC panel finds that former broker lied to regulators and acted contrary to the public interest

21/01/2015(0)
A British Columbia Securities Commission panel has found that a former broker lied to regulators and acted contrary to the public interest. The panel found that Douglas William Falconer ... Read More
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Supreme Court rejects appeal by ex-Goldman Sachs director

13/01/2015(0)
US Supreme Court decision on ex-Goldman Sachs director The US Supreme Court on Monday rejected an appeal by Rajat Gupta, the former Goldman Sachs director convicted of insider trading. ... Read More
Legal letter

Two Sydney men plead guilty to insider trading

05/12/2014(0)
Two Sydney men, including a former analyst with ratings agency Moody’s, today pleaded guilty to insider trading that netted a profit of more than $180,000. Daniel Joffe, 37, of ... Read More
Broker Cyprus TopFX