The executive, David Shulman, has agreed to pay $2.75 million to resolve claims of insider trading in auction-rate securities.
Read the rest here:
Former UBS Banker Settles Insider Trading Claims
Posts Tagged ‘insider trading’
Former UBS Banker Settles Insider Trading Claims
Thursday, February 18th, 2010Judge Orders Galleon Defendants to Release Tapes
Wednesday, February 10th, 2010Judge Jed S. Rakoff’s decision should help prosecutors in their insider-trading case against Galleon’s founder, Raj Rajaratnam, and others.
See more here:
Judge Orders Galleon Defendants to Release Tapes
S.E.C. Enforcers Focus on Avoiding Madoff Repeat
Tuesday, February 9th, 2010Robert S. Khuzami, the head of enforcement, must restore confidence that the S.E.C
The Enforcers
Tuesday, February 9th, 2010The new enforcement team at the Securities and Exchange Commission is working to police Wall Street — and to shake off the psychic blow of the Bernard L. Madoff affair.
See the article here:
The Enforcers
10th Person in Galleon Insider Case Pleads Guilty
Monday, February 8th, 2010A former executive of Intel became the 10th person to plead guilty in the Galleon Group insider trading case after admitting in court on Monday afternoon that he had passed confidential corporate information to Galleon’s founder, Raj Rajaratnam.
Read more from the original source:
10th Person in Galleon Insider Case Pleads Guilty
Fund Manager Led Investigators to Galleon Informant
Thursday, February 4th, 2010Prosecutors revealed at a sentencing hearing for a former hedge fund manager on Thursday that he led investigators to evidence that helped them turn David R. Slaine into a key informant in the Galleon Group insider trading case.
Read more here:
Fund Manager Led Investigators to Galleon Informant
Guilty Plea by Trader in Fraud Case
Thursday, January 28th, 2010Mark Kurland agreed to forfeit $900,000 he made from an insider-trading scheme, but his lawyer said Mr. Kurland would not cooperate with investigators.
Originally posted here:
Guilty Plea by Trader in Fraud Case
Witnesses Are Gathered Against Chief of Galleon
Wednesday, January 27th, 2010A seventh person charged in the insider-trading case involving the Galleon Group agreed to assist investigators.
See the rest here:
Witnesses Are Gathered Against Chief of Galleon
Judge Allows S.E.C. to Add Galleon Case Charges
Tuesday, January 26th, 2010A federal judge ruled Monday evening that the Securities and Exchange Commission could amend its charges against Raj Rajaratnam and others involved in the broadening insider trading case surrounding the Galleon Group.
Follow this link:
Judge Allows S.E.C. to Add Galleon Case Charges
Insider Faces Sentencing in ’07 Case
Wednesday, January 20th, 2010Mark Lenowitz is to be sentenced Thursday for his role in a criminal case that was described in 2007 as the largest insider-trading crackdown in 20 years.
Read more:
Insider Faces Sentencing in ’07 Case