SEC Enforcement: Kansas Charged With Securities Fraud
In another action, a brokerage firm and its founder were charged with violating net capital requirements and falsifying data in an attempt to mislead examiners.
Ex-SAC Fund Manager Martoma Found Guilty in Insider Trading Case
Former SAC Capital Advisors LP fund manager Mathew Martoma was found guilty in the most lucrative insider-trading scheme ever
SAC Capital Pleads Guilty, Will Pay Record $1.2 Billion Penalty
The penalty is on top of the $616 million in insider trading fines that SAC agreed to pay earlier this year.
SEC, DOL, FINRA Enforcement: SAC Capital Could Plead Guilty
Among other recent enforcement actions, DOL retrieved $1.6 million for Sunkist employees and FINRA fined and censured Scottrade.
SEC, DOL Enforcement: Cohen’s SAC Capital Faces Criminal Charges
The SAC Capital insider trading scandal featured in enforcement actions this week, along with SEC charges against the City of Miami and a DOL settlement with the trustee of a defunct garment company’s pension plan.
SEC Charges SAC Capital’s Cohen
The SEC on Friday charged hedge fund advisor Steven Cohen, founder of SAC Capital Advisors, with failing to prevent two portfolio managers from insider trading.
U.S. Charges SAC Capital Unit in $276 Million Insider Trading Scheme
The SEC, in its largest insider trading case ever, and the Department of Justice charged hedge fund advisory firm CR Intrinsic Investors, which is a unit of SAC Capital, its former portfolio manager and a medical consultant with insider trading.