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By Press Release |
April 29, 2013
Greenwich, Conn.-based Level Global Investors LP has settled charges its co-founder engaged in insider trading in Dell Inc. and Nvidia Corp.
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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 Patricia Hurtado |
February 20, 2013
The FBI is working with the SEC in a criminal probe of trading “anomalies” before the announcement of a deal to buy H.J. Heinz Co.
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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 Press Release |
September 14, 2012
The SEC brought first-of-its-kind charges against the New York Stock Exchange for compliance failures that gave certain customers an improper head start on trading information.
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By Press Release |
September 22, 2011
The SEC’s Division of Enforcement alleges that Spencer D. Mindlin obtained non-public details about Goldman’s plans to purchase and sell large amounts of SPDR ETFs.
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By Michael J. McFarlin |
June 1, 2011
New employees and promotions in the trading industry
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By Press Release |
March 1, 2011
The SEC says Rajat K. Gupta illegally tipped Galleon Management founder and hedge fund manager Raj Rajaratnam with inside information.
