Insider Trading

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  SEC Enforcement Roundup: Ralph Lauren Corp. Admits to Bribing Argentine Officials

  By Marlene Y. Satter, AdvisorOne  |  April 25, 2013

  Recent actions include a nonprosecution agreement with Ralph Lauren Corp. in a bribery case and the halting of an immigration scheme.

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  SEC Enforcement Roundup: Sister Charged With Illegally Tipping Off Brother

  By Marlene Y. Satter, AdvisorOne  |  April 18, 2013

  Among recent enforcement actions taken by the SEC were charges against a woman for illegally tipping her brother about quarterly earnings data from the firm she worked for.

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  SEC, FINRA Enforcement Roundup: Hedge Fund Analyst, 2 Friends Charged With Insider Trading

  By Marlene Y. Satter, AdvisorOne  |  March 29, 2013

  Among other recent actions were sanctions and fines for HSBC and Scottrade.

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  SEC Enforcement Roundup: CR Intrinsic Slapped With Record Insider Trading Fine

  By Marlene Y. Satter, AdvisorOne  |  March 21, 2013

  The SEC settlement by CR Intrinsic was for $600 million, the largest ever in an insider trading case; meanwhile, a financier was charged in a scam involving pre-IPO Facebook stock.

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  SEC, FINRA Enforcement Roundup: Insider Trading Ring Busted; Raymond James Hit

  By Marlene Y. Satter, AdvisorOne  |  December 7, 2012

  Among recent actions taken by the SEC and FINRA were the breakup of an insider trading ring; Raymond James getting fined and censured; and proceedings over securities law violations by the Big Four accounting firms' China affiliates.

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  SEC, FINRA Enforcement Roundup: Fund Execs First to Face Charges of Overvaluing Assets

  By Marlene Y. Satter, AdvisorOne  |  November 29, 2012

  Three top executives of KCAP Financial Inc., a New York-based publicly traded fund being regulated as a business development company, have been charged by the SEC with overstating the fund’s assets during the financial crisis. a complaint against the president and owner of a Polish-born brokerage firm for targeting the Polish...

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  SEC Enforcement Roundup: High School Dropout ‘Advisor’ Busted for Fraud

  By Marlene Y. Satter, AdvisorOne  |  November 20, 2012

  The SEC charged a man who was high school dropout and a phony “investment advisor” who spent his clients’ funds on drugs and gambling; and a group of former high school buddies were charged with engaging in insider trading.

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  SEC, FINRA Enforcement Roundup: Merrill Slapped With $500,000 Fine

  By Marlene Y. Satter, AdvisorOne  |  September 27, 2012

  Recent FINRA actions include a $500,000 fine against Merrill Lynch for failing to file required reports, and a joint action with the SEC and the exchanges against Hold Brothers.

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  SEC Enforcement Roundup: Radio Financial Guru Charged

  By Marlene Y. Satter, AdvisorOne  |  September 6, 2012

  Recent SEC enforcement actions include charges against a California man who tipped off a hedge fund manager with inside information and a radio personality who misled investors about an investing plan.

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  SEC, FINRA, DOL Enforcement Roundup: Investing Website Exposed as $600M Scam

  By Marlene Y. Satter, AdvisorOne  |  August 23, 2012

  A CEO who fed inside tips to a pro baseball player and an investment website running a $600 million Ponzi scheme were among those charged by the SEC recently.