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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In a Complaint filed in the U.S. District Court for the District of New Jersey, the SEC alleged that two individuals placed orders on opposite sides of the market for the same put options using two accounts with two broker-dealers.
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.