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By Press Release |
April 15, 2013
The SEC charged a prominent Denver-based businessman with insider trading based on information he obtained from the CEO of an oil and gas company.
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By Press Release |
March 26, 2013
The SEC charged Matthew Teeple and a technology company executive in a $29 million insider trading case.
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By Press Release |
March 21, 2013
The SEC charged Rajarengan “Rengan” Rajaratnam for his role in the massive insider trading scheme spearheaded by his older brother Raj Rajaratnam.
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By Press Release |
February 26, 2013
The SEC charged a pair of hedge fund managers with lying to investors about their fund’s structure and financial condition before it failed.
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By Press Release |
December 11, 2012
The SEC charged a New York-based fund manager with conducting illegal trading schemes to financially benefit his investment fund Octagon Capital Partners LP.
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By Press Release |
November 20, 2012
In the largest insider trading case ever charged by the SEC, the regulator accuses Stamford, Conn.-based CR Intrinsic investors LLC in $276 million scheme.
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By Alanna Byrne |
November 2, 2012
A wrap-up of promotions and moves from around the industry.
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By Alanna Byrne |
October 19, 2012
A wrap-up of promotions and moves from around the industry
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By Press Release |
September 27, 2012
The SEC says Goldman attempted to influence the awarding of lucrative public contracts for securities underwriting business by making undisclosed contributions to Massachusetts governor candidate Timothy Cahill.
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By Press Release |
July 17, 2012
The SEC says that the Wolfson brothers gamed short-selling restrictions to profit outside the rules.
