SEC

SEC charges biotech worker with insider trading Fallback Image Decorative pattern

Industry

SEC charges biotech worker with insider trading

The SEC has charged the former senior director of regulatory affairs for Puma Biotechnology with insider trading ahead of the company’s news announcements about its drug to treat breast cancer.

By Staff |September 30, 2016

2 min read

Blank-check company manufacturer charged with fraud Fallback Image Decorative pattern

Industry

Blank-check company manufacturer charged with fraud

The SEC today announced fraud charges against a Florida man who was part of a scheme to register and sell stock in blank-check companies masked as promising startups to illicitly profit off the investing public. Read: IIROC imposed more sanctions in 2015 The SEC’s order finds that Sheldon R. Rose created more than a dozen […]

By Staff |September 26, 2016

2 min read

Whistleblower rejects US$8M award, pinpointing regulatory gaps Fallback Image Decorative pattern

Industry

Whistleblower rejects US$8M award, pinpointing regulatory gaps

Find out why Eric Ben-Artzi, a former Deutsche Bank risk officer, has refused his whistleblower payout.

By Staff |August 19, 2016

1 min read

Company fined for trying to prevent whistleblowing Fallback Image Decorative pattern

Industry

Company fined for trying to prevent whistleblowing

The SEC has fined a California-based health insurance provider $340,000.

By Staff |August 18, 2016

2 min read