Insider Trading

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  SEC, FINRA Enforcement Roundup: Bristol-Myers Squibb Exec Charged

  By Marlene Y. Satter, AdvisorOne  |  August 2, 2012

  There was an international flavor to some of the recent actions taken by the SEC and FINRA, including freezing $38 million in assets in an international insider trading case and charges involving a Chinese reverse merger company.

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  SEC, FINRA Enforcement Roundup: Doctors Fined for Insider Trading

  By Marlene Y. Satter, AdvisorOne  |  July 12, 2012

  Recent actions also include fines for a medical device company accused of bribing the Mexican government and a suit filed by an investment company against breakaway brokers.

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  SEC Enforcement Roundup: $100M Real Estate Ponzi Scheme Busted

  By Marlene Y. Satter, AdvisorOne  |  June 28, 2012

  Recent SEC actions include shutting down two Ponzi schemes, one that brought in $100 million and another that collected $42 million. A Malaysian advisor was sued for not advising.

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  SEC, FINRA Enforcement Roundup: Former Detroit Mayor, Movie Producer Charged

  By Marlene Y. Satter, AdvisorOne  |  May 11, 2012

  Among those finding themselves recently on the wrong end of an SEC action were a movie producer, former Detroit mayor Kwame Kilpatrick and a Shanghai-based auditing firm.

• Raising the Bar

  By Staff Writer  |  November 1, 2005

  It is a challenge for a firm to grow, hire new employees, and assume greater responsibilities while offering a wider range of client services. We...