Legal Eagle Review
SEC Charges Former Executive with Insider Trading On Nonpublic Information Obtained as Part of Professional Group
- Details
- Written by LER
Miami, Florida - The Securities and Exchange Commission today charged a former corporate executive living in South Florida with insider trading based on confidential information that he learned as part of a professional organization.
SEC Announces Non-Prosecution Agreement With Ralph Lauren Corporation Involving FCPA Misconduct
- Details
- Written by LER
Washington, DC - The Securities and Exchange Commission today announced a non-prosecution agreement (NPA) with Ralph Lauren Corporation in which the company will disgorge more than $700,000 in illicit profits and interest obtained in connection with bribes paid by a subsidiary to government officials in Argentina from 2005 to 2009.
SEC Halts Fraudulent Investment Scheme by New York-Based Fund Manager
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- Written by LER
The Securities and Exchange Commission today announced charges against a New York-based fund manager and his two firms for luring investors into a trading program that would purportedly maximize their profits but instead spent their money in unauthorized ways.
SEC Charges Northern California Fund Manager in $60 Million Scheme
- Details
- Written by LER
The Securities and Exchange Commission charged an investment adviser in Scotts Valley, California, with running a $60 million investment fund like a Ponzi scheme and defrauding investors by touting imaginary trading profits instead of reporting the actual trading losses he incurred.
SEC Charges Two Feeders for One of South Florida's Largest-Ever Ponzi Schemes
- Details
- Written by LER
The Securities and Exchange Commission charged two individuals who provided the biggest influx of investor funds into one of the largest-ever Ponzi schemes in South Florida.
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