内幕交易Tag Archives — Investor Lawyers Blog

前Equifax Trader被指控在向公众披露数据泄露新闻之前进行内部交易

Published on:2018年3月14日 | 经过Shepherd Smith Edwards＆Kantas，LLP

美国证券交易委bob200体育员会已提交内幕交易对Equifax美国业务部门的前首席信息官Jun Ying的指控。监管机构辩称，在2007年，在消费者信用报告机构宣布，Ying在2007年进行了内幕交易，该公司宣布已有一个重大的数据泄露事件，该信息暴露了美国约1.48亿客户的个人信息。在披露的信息中，包括社会保险号，姓名，地址和出生日期。

The Commission’s complaint accuses Yin of using confidential information to determine that Equifax had experienced a major breach. The SEC said that before the company disclosed the information breach, Ying exercised all the Equifax stock options he had vested and made almost $1M when he sold the shares. The regulator claims that Ying was able to avoid losing over $117K by selling the shares when he did.

现在，已针对伊宁（Ying）指控他违反了联邦证券法的反诉规定的SEC正在追求不义之的收益，利息，禁令和对他的处罚。bob200体育在该公司发现他的行业并据报道让他离开后，Ying从Equifax辞去了辞职。美国检察官提起了针对伊宁的平行刑事案件。

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Financial Firm News: Hilliard Lyons Must Pay $445K to Elderly Investor, Merrill Lynch Ordered to Pay Vermont $140K After Broker Makes Unauthorized Changes, and FSC Securities Settles with Montana Regulators

Published on:2018年2月27日 | 经过Shepherd Smith Edwards＆Kantas，LLP

FINRA小组命令Hilliard Lyons向老年客户赔偿赔偿

In a Financial Industry Regulatory Authority arbitration case, Hilliard Lyons is ordered to pay 84-year-old Elizabeth Nickens $445K in damages for losses she sustained from alleged搅动and未经授权的交易。诺克斯（Nickens）声称，顾问克里斯托弗·贝内特（Christopher Bennett）在退休帐户中没有授权的情况下进行交易，并且她的资产以不适合她或投资目标的方式分配。

Nickens, as an older investor, had a low risk tolerance and was more interested in preserving her funds. Yet, according to her attorney, more than half of her average account equity was in four stocks. She lost over $300K.

希利亚德·里昂斯（Hilliard Lyons）被指控没有适当监督交易。该公司和贝内特否认高级金融欺诈指控。
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内幕交易: Two Former Executives Accused of Making Illegal Profits from Emeritus Stock Trading Settle SEC Charges, More Final Judgments Reached Against Circle of Amateur Golfers, and Investment Adviser Gets Six Months in Prison

Published on:February 22, 2018 | 经过Shepherd Smith Edwards＆Kantas，LLP

Medical Products Executives Settle Insider Trading Charges

The US Securities and Exchange Commission announced that内幕交易已经与两个前董事会成员达成了两个前家庭医疗解决方案有限责任公司的定居点。Todd M. Lavelle和Ara Chackerian被指控基于内部信息在名誉公司中非法交易。

监管机构辩称，Lavelle和Chackerian在了解了公司与Brookdale Senior Living Inc.之间即将进行的合并后bob200体育购买了名誉证券。但是，在交易向公众披露之前，他们这样做了。在合并宣布的那天，他们出售了其名誉股票，据称分别赚了25,000美元和15.7万美元的非法利润。

LaVelle, who is settling the case but without denying or admitting to the allegations, will pay over $25K in disgorgement, more than $2,600 in prejudgment interest, and an over $25K civil penalty. Chackerian, who is also settling without denying or admitting to the findings, will pay over $157K of disgorgement, the same amount as a civil penalty, and more than $18,600 of prejudgment interest.

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Securities News: Citigroup Settles Libor Lawsuit for $130M, Apollo Global is Sued for Fraud, and Ex-MSD Capital Analyst is Sentenced After Insider Trading

Published on:2017年8月10日 | 经过Shepherd Smith Edwards＆Kantas，LLP

花旗集团支付针对Libor索具起诉的原告

Citigroup Inc. (C)将解决一项美国私人反托拉斯诉讼，指控LIBOR操纵通过支付1.3亿美元。该诉讼是由“非处方”投资者提起的，他们与属于伦敦银行汇率的小组的银行进行直接交易。

As part of the proposed preliminary settlement, the bank will pay the money to a fund for future class members. It also will cooperate with the lawsuits brought against other banks also accused of involvement in Libor rigging. Despite settling the case, however, Citigroup is not admitting or denying any wrongdoing.

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秒Headlines: Regulator Probes Oppenheimer Executive, Prepares Insider Trading Case Against Policy Research Firm, & Wants to Suspend Standard & Poor’s From Rating CMBSs

Published on:2014年12月10日 | 经过Shepherd Smith Edwards＆Kantas，LLP

秒Investigating Ex-Oppenheimer Executive for Securities Law Violations

根据彭博社的说法，罗伯特·奥金（Robert okin）Oppenheimer＆Co。（OPY）前零售经纪人负责人正在接受美国证券交易委员会的调查。bob200体育10月，该机构的执法部门通知Okin，基于初步决定，它旨在针对违反证券法的行为提出指控，包括未能进行监督。bob200体育

Okin is no longer with Oppenheimer. He resigned earlier this month to pursue “other interests.” Okin denies violating the Securities Exchange Act.

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