Jul 7, 2021 | SEC Investigations
On July 2, the SEC and DOJ both announced charges against a Canadian trader for entering into trades based on the knowledge of upcoming trades by the trader’s employer, a large Canadian asset management firm. The trader is alleged to have made trades in tandem with...
Jul 2, 2021 | SEC Investigations, White Collar Crime
President Joe Biden stated in his inaugural address, “We can make America, once again, the leading force for good in the world.” Fighting corruption, both domestically and internationally, has been a focus of the Biden administration in its first year in office. The...
Jun 29, 2021 | SEC Investigations
On June 15, the SEC announced that it had charged several individuals in an alleged insider trading scheme that resulted in nearly $1.7 million in illegal profits and losses avoided. It all centered on an insider trading ring in Silicon Valley. The SEC alleged that...
Jun 16, 2021 | SEC Investigations
There are very few events in the world that are truly make-or-break. One example is winning or losing a limited license or government contract in a highly lucrative industry. Another example is the job interview to get your dream job. But one of the prime examples...
May 24, 2021 | SEC Investigations
On May 18, the U.S. House of Representatives passed H.R.2655, the Insider Trading Prohibition Act. If passed by the Senate, the legislation would be the first dedicated legislation to combat insider trading. For decades, the Department of Justice and Securities and...
May 14, 2021 | SEC Investigations
The Securities and Exchange Commission (SEC) recently announced that it had awarded $22 million to two whistleblowers, with one of those individuals receiving an $18 million award. The two individuals provided the SEC with information concerning the same...
