The U.S. Securities and Exchange Commission (SEC) charged nine individuals with insider trading in three separate actions on July 25, 2022, alleging the misconduct resulted in ill-gotten gains totaling more than $6.8 million....more
7/29/2022
/ Analytics ,
Bank Secrecy Act ,
Department of Justice (DOJ) ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
FinCEN ,
Illegal Tipping ,
Insider Trading ,
Mergers ,
Quid Pro Quo ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Tender Offers
As the SECond Opinions Blog continues our review of FY 2021 U.S. Securities and Exchange Commission's (SEC) enforcement activity, we take a deeper dive into the agency's use of technology to generate enforcement leads. The...more