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Written by LER

Created: 20 August 2014

The Securities and Exchange Commission charged a former bank executive in Massachusetts and his friend with insider trading in advance of the bank’s acquisition of another financial institution.

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Written by LER

Created: 14 August 2014

The Securities and Exchange Commission today announced charges against an accounting firm partner in Atlanta for insider trading in the stock of a restaurant company based on confidential information he learned from a client on the board of directors who came to him for tax advice in advance of a tender offer announcement.

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Written by LER

Created: 08 August 2014

A former Senior Manager at Microsoft was sentenced today to two years in prison, three years of supervised release for insider trading, announced U.S. Attorney Jenny A. Durkan. Brian Jorgenson, 32, of Lynnwood, Washington was employed as a Senior Manager in Microsoft’s Treasury Group.

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Written by LER

Created: 08 August 2014

The Securities and Exchange Commission today announced charges against a New York-based brokerage firm and its founder for allegedly violating net capital requirements and falsifying books and records to conceal the capital deficiencies.

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