The SEC charged three individuals with securities fraud for engaging in insider trading in the securities of Equifax, Inc. prior to its announcement of a major data breach.
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The New York Mercantile Exchange, a subsidiary of CME, settled CFTC charges for improper disclosures of customers' trading activity by two former NYMEX employees.
The SEC charged a regional vice president of a retail pharmacy chain with insider trading involving "market-moving" information.
The SEC filed a Complaint in U.S. District Court against a former executive of a manufacturing company for making illegal trades using material non-public information.
CME issued fines and suspensions against two brokers and a futures brokerage firm for separate trade practice violations.