The U.S. District Court for the Eastern District of Virginia dismissed an SEC insider trading case that was based on inferences drawn from conversations between defendants and changes in trading patterns.
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The CFTC charged a resident of Puerto Rico and his firm with trading on material nonpublic information on gas futures received from an insider at an energy company.
The SEC charged a former pharmaceutical company CFO, along with his former romantic partner, for trading on the company's stock using insider information.
An investment adviser settled SEC charges for policy and procedure failures, prohibited adviser transactions and the misuse of material non-public information (“MNPI”).
The SEC charged a global management consulting firm partner with trading on material nonpublic information taken from the firm and its clients.