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Enforcement Actions Insider Trading Financial Services Industry

Morgan Lewis

Developments in SEC and FINRA Enforcement and Exams for Investment Advisers and Broker-Dealers: 2024–2025

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The US Securities and Exchange Commission (SEC) brought a number of significant enforcement proceedings against investment advisers and broker-dealers in FY 2024 and during the first quarter of FY 2025. If history serves as a...more

Morrison & Foerster LLP

Top 5 SEC Enforcement Developments for December 2024

Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month, we examine: •Insider trading charges against a professor overseeing...more

Polsinelli

“Now Yous Can’t Leave”: SEC Finds Itself in Formidable Fight Over Attempt to Assert Regulatory Domain over Secondary Sales of...

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In July of 2022, the United States Department of Justice (“DOJ”) and the Securities and Exchange Commission (“SEC”) each alleged insider trading violations against a former Coinbase employee Ishan Wahi (“Ishan”), his brother...more

Nutter McClennen & Fish LLP

Nutter Securities Enforcement Update: December 1, 2022

The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges....more

Freeman Law

A Crypto Quagmire: Civil and Criminal Charges Filed against a Coinbase Manager for Insider Trading of Securities

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Recently the SEC filed suit for insider trading of securities against a high-level employee at the popular crypto exchange, Coinbase. The SEC filed its civil suit in Seattle on July 22, 2022, against and his co-conspirators....more

Polsinelli

Concerning Questions Raised by SEC Action Against Former Coinbase Employee

Polsinelli on

On July 21, 2022, the Department of Justice (DOJ) and the US Securities and Exchange Commission (SEC) each alleged insider trading violations against a former Coinbase employee, his brother, and another alleged acquaintance...more

Robins Kaplan LLP

Financial Daily Dose 1.15.2020 | Top Story: Dating Apps Face Scrutiny for Likely Data Privacy Violations

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Popular app-based dating services—from Tinder to OkCupid to Grindr—are the subject of unwanted scrutiny this week after a report by the Norwegian Consumer Council that they’re “spreading user information like dating choices...more

Robins Kaplan LLP

Your Daily Dose of Financial News

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Mr. Buffett and his Berkshire crew just dropped nearly a billion on its own stock, a likely sign, according to analysts, of a “dearth of appealing investment options” for the company’s “large cash pile”....more

Robins Kaplan LLP

Your Daily Dose of Financial News

Robins Kaplan LLP on

More on the rather shocking departure of John Flannery from GE, the Board that didn’t want to give him any more leash for his turnaround plans, and the future of the embattled corporate giant under Larry Culp....more

Robins Kaplan LLP

Your Daily Dose of Financial News

Robins Kaplan LLP on

The world’s keeping a wary eye on Turkey’s economic well-being, especially given the precipitous drop in the value of the country’s currency (which has pushed up prices for consumers and corporations) and President Erdogan’s...more

Patterson Belknap Webb & Tyler LLP

Former Equifax Exec Charged with Insider Trading: Underscores Need for Trading Halt Plans

The Equifax hack has taken another twist – one that raises questions that every public company should consider....more

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