Insider Trading

SEC OKs Changes to Insider Securities Trading Rules
Regulation

SEC OKs Changes to Insider Securities Trading Rules

The amendments close some of the loopholes in the 10b5-1 rule governing stock trading by corporate executives.
By Vincent Ryan | December 19, 2022
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Three Charged in $4.7M Insider Trading Case
Risk & Compliance

Three Charged in $4.7M Insider Trading Case

The SEC says David Schottenstein and two of his close friends traded in advance of announcements involving companies with which his family was associated.
By Matthew Heller | January 7, 2022
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SEC Proposes Tighter Insider Trading Rule for Execs
Risk & Compliance

SEC Proposes Tighter Insider Trading Rule for Execs

The proposal addresses the safe harbor for CFOs and other corporate executives who make trades as part of a pre-announced portfolio management plan.
By Matthew Heller | December 15, 2021
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Pharma CFO Charged With Insider Trading
Risk & Compliance

Pharma CFO Charged With Insider Trading

Usama Malik allegedly gave nonpublic information about an Immunomedics drug to his then-girlfriend while he was the firm's CFO.
By Matthew Heller | December 3, 2021
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McKinsey Consultant Accused of Insider Trading
Risk & Compliance

McKinsey Consultant Accused of Insider Trading

Puneet Dikshit allegedly profited from inside information he had obtained while advising Goldman Sachs about a potential acquisition.
By Matthew Heller | November 10, 2021
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Ex-Goldman Compliance Analyst Accused of Insider Trading
Risk & Compliance

Ex-Goldman Compliance Analyst Accused of Insider Trading

The SEC says a Spanish national abused his position in Goldman's compliance unit to make more than $471,000 in profits from insider trades.
By Matthew Heller | September 29, 2021
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Ex-Netflix Engineers Charged With Insider Trading
Risk & Compliance

Ex-Netflix Engineers Charged With Insider Trading

The SEC says the software engineers were part of a ring that made $3.1 million in illicit profits based on tips about Netflix subscriber growth.
By Matthew Heller | August 19, 2021
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Three Sued Over Blockchain Firm Trading
Risk & Compliance

Three Sued Over Blockchain Firm Trading

The SEC says the controlling shareholder of Long Blockchain and two associates engaged in insider trading ahead of market-moving news.
By Matthew Heller | July 12, 2021
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Ex-Goldman Analyst Barred for Insider Trading
Risk & Compliance

Ex-Goldman Analyst Barred for Insider Trading

FINRA says Brian Maguire traded shares in two companies after learning that a colleague was upgrading his recommendation on the firms.
By Matthew Heller | April 20, 2021
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Ex-Amazon Employee Accused of Insider Trading
Risk & Compliance

Ex-Amazon Employee Accused of Insider Trading

The manager in Amazon's tax department allegedly made illegal trades with two family members ahead of the company's earnings announcements.
By Matthew Heller | September 29, 2020
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S&P Index Manager Charged With Insider Trading
Risk & Compliance

S&P Index Manager Charged With Insider Trading

James Yang allegedly traded in options after he learned in advance that their issuers would be added to or removed from one of S&P Dow Jones' three indices.
By Matthew Heller | September 22, 2020
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Special Report: Fixing Some Holes
Risk & Compliance

Special Report: Fixing Some Holes

Reforms to insider trading law could provide clarity, but they could also lead to more aggressive prosecutions.
By Bob Violino | April 22, 2020
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House Passes Bill to Close ‘8-K Trading Gap’
Risk & Compliance

House Passes Bill to Close ‘8-K Trading Gap’

The current system that allows insiders to trade on information about a significant corporate event is "a total abuse of the public trust."
By Matthew Heller | January 15, 2020
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Five IT Workers Charged in Insider Trading Ring
Risk & Compliance

Five IT Workers Charged in Insider Trading Ring

A former IT administrator at Palo Alto Networks allegedly tipped off four friends in advance of the company's quarterly earnings announcements.
By Matthew Heller | December 18, 2019
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Ex-Sodastream CEO Suspected of Insider Trading
Risk & Compliance

Ex-Sodastream CEO Suspected of Insider Trading

Daniel Birnbaum, now Sodastream's chairman, allegedly tipped off an associate in advance of the Israeli company's takeover by PepsiCo.
By Matthew Heller | September 24, 2019
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