Tag: Insider Trading

Compliance Corp Finance

Forms 3, 4 and 5

What is a Form 3? The federal securities laws require certain individuals (such as officers, directors, and those that hold more than 10% of any class of a company’s securities (“insiders”) to report purchases, sales, and holdings of their company’s securities by filing Forms 3, 4, and 5. When a […]

Insider trading
Commentary Investors

Bloomberg Claims – Is the Stock Market Rigged? Most People Think So – We Don’t.

There was an interesting article at Bloomberg.com, which contends that insider trading is everywhere, and no one seems to care.

Having spent the better part of three decades as a securities attorney, and an investor, it seems to me that all three statements are not true. The stock market is not rigged, insider trading is not everywhere, and lots of people care about insider trading.

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includes non-public information concerning the growth in your employer’s subscriber base or information contained in unpublished earnings releases.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 […]

News

Silicon Valley Insider Trading Ring Charged

The SEC has announced insider trading charges against a Silicon Valley trading ring whose members generated nearly $1.7 million in illegal profits and losses avoided by trading on the confidential earnings information of two local technology companies. According to the SEC’s complaint, Nathaniel Brown, who served as the revenue recognition […]