Napkin-Eating Broker Agrees To Cooperate With SEC

July 20, 2015 by InsuranceNewsNet

Among recent enforcement actions by the SEC, the middleman in the Post-It notes insider trading case agreed to settle with the agency; a hedge fund manager admitted wrongdoing and paid $4.5 million in SEC penalties for reporting bad information; and 34 defendants were charged in a scheme to manipulate the market for microcap securities. Click here to read…

Originally Posted at InsuranceNewsNet on July 18, 2015 by InsuranceNewsNet.