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insider trading
Brokers Compliance Enforcement News

Netflix Insider Trading Ring

You cannot trade on material, non-public information, and that includes non-public information concerning the growth in your employer’s subscriber base or information contained in unpublished earnings releases. And if you do, you will undoubtedly be caught, and subjected to some very harsh penalties. Fines, a return of three times the […]

Enforcement News

SEC Charges Investment Adviser and Associated Individuals with Causing Violations of Regulation SHO

The Securities and Exchange Commission today announced settled charges against Murchinson Ltd.; its principal, Marc Bistricer; and its trader, Paul Zogala (the respondents), for providing erroneous order-marking information that caused executing brokers… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox at 212-509-6544. The […]

News Whistleblower

New Whistleblower Awards

The Securities and Exchange Commission announced awards of nearly $6 million to two whistleblowers who provided information and assistance in separate enforcement proceedings. In the first order, the SEC awarded more than $3.5 million to a whistleblower who reported valuable new information that caused the SEC to expand an existing […]