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Recent Posts in Insider Trading Category

SEC Charges Chad Wiegand, Akis Eracleous with Insider Training, Duo Agrees to Securities Ban

The SEC charged FINRA-registered brokers Chad Edward Wiegand and Akis Costas Eracleous, both formerly of National Planning Corporation in Southern California, with insider trading and federal ...
Continue reading "SEC Charges Chad Wiegand, Akis Eracleous with Insider Training, Duo Agrees to Securities Ban" »

Jack T. Johnson Fined & Suspended for Accepting Inside Information Transaction

FINRA suspended Jack Theodore Johnson, formerly with Morgan Stanley in Claremont, California, and presently a First Vice President and financial advisor with RBC Capital Markets, LLC in Pasadena, for ...
Continue reading "Jack T. Johnson Fined & Suspended for Accepting Inside Information Transaction" »

Jonathan Kohanof Barred for False Testimony in Insider Trading Investigation

FINRA barred former Houlihan Lokey Capital, Inc. associate Jonathan Kohanof of Los Angeles, California for untruthful testimony during an investigation into allegations of insider trading. FINRA's ...
Continue reading "Jonathan Kohanof Barred for False Testimony in Insider Trading Investigation" »

SEC Charges Former Wells Fargo Compliance Officer Judy K. Wolf with Altering Documents

The SEC accused former Wells Fargo Advisors Compliance Officer Judy K. Wolf of altering documents pertaining to a 2010 insider trading scheme in order to make it appear that she, as a compliance ...
Continue reading "SEC Charges Former Wells Fargo Compliance Officer Judy K. Wolf with Altering Documents" »

SEC Fines Wells Fargo Advisors $5 Million for Inadequate Controls to Prevent Broker's Insider Trading

Wells Fargo Advisors LLC admitted it failed to maintain adequate controls to prevent one of its brokers, Miami-based Waldyr Da Silva Prado Neto, from trading on inside information. The Securities and ...
Continue reading "SEC Fines Wells Fargo Advisors $5 Million for Inadequate Controls to Prevent Broker's Insider Trading" »

SEC: Small Violations Can Lead to Strong Enforcement, Sanctions, and Fines

The Securities and Exchange Commission is turning to a new Enforcement strategy: zero in on minor infractions in order to stop large violations from occurring later on. SEC Chairman Mary Jo ...
Continue reading "SEC: Small Violations Can Lead to Strong Enforcement, Sanctions, and Fines" »

SAC Capital Stops Cooperating with Government Investigation as DOJ Ramps Up Probe, Investors Flee

After SAC Capital and founder Steven A. Cohen settled its insider trading lawsuit for a reportedly record-$616 million in March ( see: SAC Capital Lawsuit Settled; Firm to Pay Record $616 Million for ...
Continue reading "SAC Capital Stops Cooperating with Government Investigation as DOJ Ramps Up Probe, Investors Flee" »

Thomas Charles Conradt Pleads Guilty to Securities Fraud & Conspiracy in IBM Case

Former Euro Pacific Capital, Inc. broker Thomas Charles Conradt pleaded guilty to two felony counts of manipulative and deceptive devices (known as securities fraud) and one count of conspiracy to ...
Continue reading "Thomas Charles Conradt Pleads Guilty to Securities Fraud & Conspiracy in IBM Case" »

SAC Capital Lawsuit Settled; Firm to Pay Record $616 Million for Insider Trading

The Securities and Exchange Commission has secured a record $616 million settlement with Steven A. Cohen's hedge fund, SAC Capital Advisors, which is linked with Sigma Capital Management and CR ...
Continue reading "SAC Capital Lawsuit Settled; Firm to Pay Record $616 Million for Insider Trading" »
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