SEC Enforcement: Fake Notre Dame Grad Charged With Fraud
In other enforcement actions, a biopharm exec, doctor and patient settled insider trading charges.
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.
SEC, FINRA Enforcement Roundup: SAC Inquiry Nabs Sigma Portfolio Manager
Among recent actions by the SEC and FINRA were charges against a portfolio manager from Sigma Capital Management, an affiliate of SAC Capital Advisors.