内部人士交易摘要：SEC和解协议已超过保险公司合并中所谓的提示，法院不会抛出与AA成员信息有关的刑事指控，而资产冻结在Burger King Accelition中对经纪人的批准

美国证券bob200体育交易委员会已与三名男子达成和解，这些男子被指控交易有关Mercer Insurance Group Inc.与United Fire＆Casualty Co.（UFCS）之间收购的内部信息，并与后者获得了前者。根据SEC的2010年6月左右，Mercer保险总监H. Thomas Davis Jr.发现了两家保险公司之间的会谈，然后据称将商业伙伴/朋友Mark W. Baggett倾斜，据称他随后向高尔夫球伙伴Kenneth Wrangell倾斜了。然后，巴格特（Baggett）和弗朗格尔（Wrangell）购买了当年11月合并公开时出售的Mercer股票。委员会表示，他们赚了超过83,000美元的非法利润。

Wrangell, who reportedly went into a cooperation deal with SEC investigators right away when they approached him about the insider trading, saw his penalty reduced to $11,380.39. His disgorgement remains at is $42,521.55. This agreement led to the quick gathering of evidence and settlements against the other two men. In addition to a bar from working for a public company as a director or officer, Davis has consented to be severally and jointly liable for the disgorgement of $41,584.45, which were Baggett’s profits, in addition to a $41,584.45 penalty and prejudgment interest.) Baggett will also pay disgorgement and a penalty.

在一个宾夕法尼亚州内幕交易案例，地方法院已决定不驳回对蒂莫西·麦基（Timothy McGee）的刑事证券欺诈指控，据称，蒂莫西·麦基（Timobob200体育thy McGee）使用他从酗酒者匿名成员那里获得的信息在合并目标中交易了证券。蒂姆·萨维奇（Tim Savage）法官发现，检方指控足够的事实支持被告与他的提示者之间存在信心/信任关系。

SEC曾使用他从合并目标执行人员获得的信息指控McGee和四个直接/间接的Tippees进行交易股票。据称，该人告诉麦吉，他担心自己的清醒，因为他的公司待收购。美国检察官办公室继续起诉麦吉（McGee）伪证和证券欺诈指控，以此指控。bob200体育

他努力使证券欺诈指控撤销，声称起诉书未能声称他与提bob200体育示者之间的机密关系存在。但是，法院说，确定是否提供了内部信息以及关系的背景是什么，这是陪审团的工作。法院还拒绝了麦基对1934年证券交易法案规则10B5-2的挑战，这是他被指控的。bob200体育他认为这是一条违宪的规则。

在一个different insider trading case, the SEC said that the U.S. District Court for the Southern District of New York has approved its request for an emergency asset freeze order against broker Waldyr Da Silva Prado Neto. He is accused of engaging in insider trading based on information that he obtained from a brokerage customer prior to Burger King’s announcement that 3G Capital Partners Ltd., a private equity fund, was acquiring it.

据称，普拉多（Prado）在富国银行（WFC）工作时，他发现了收购客户的收购，后者已将5000万美元投入了该基金中，该基金用于2010年在2010年收购汉堡连锁店。委员会表示，5月至9月之间一年，巴西公民以汉堡王的股票交易，并获得了17.5万美元的非法收入。他还被指控小费。在巴西和国外，据称他们也在内幕提示上进行了交易（其中一项赚了168万美元）。

The SEC wanted asset freeze to keep Prado, who had recently left his job at摩根士丹利·史密斯·巴尼，从将他的更多资产移到国外。但是，SEC指出，我们的国家边界不会阻止其与在美国发生的内幕交易作斗争。

Director, His Tippees Settle SEC Suit They Traded on Inside Merger Information, BNA Bloomberg, September 24, 2012

United States v. McGee(PDF)

秒v. Prado(PDF)

更多博客文章：
Institutional Investment Fraud Roundup: Ex-Hedge Fund Managers’ Guilty Plea Over Bilking Investors of Almost $1M Get 3-Year Prison Term, SEC Sues Investment Adviser Over Alleged $37M Ponzi, and SEC Files Lawsuit Over Purported “Fund of Funds” Scam, Institutional Investor Securities Blog, September 26, 2012

Lehman Brothers Australia Found Liable in CDO Losses of 72 Councils, Charities, and Churches, Institutional Investor Securities Blog, September 25, 2012

德克萨斯证券bob200体育欺诈：投资者起诉Behringer Harvard Reit I，股票经纪人欺诈博客，2012年9月26日