Compliance

11:44 AM
Justin Grant
Justin Grant
Slideshows
Connect Directly
Google+
Twitter
RSS
E-Mail
50%
50%

The 9 Most Notorious Insider Trading Cases of 2011

Of the 57 insider trading cases brought by the SEC this year, Advanced Trading highlights nine standouts, like the case of Raj Rajaratnam, in a rogues gallery of accused and convicted inside traders.
Previous
7 of 9
Next


Donald Johnson, the former managing director of the market intelligence desk at Nasdaq, was sentenced to nearly 3 years in prison in August for insider trading. He pleaded guilty earlier this year to using the advanced information he got in his role at Nasdaq to make illegal trades. Regulators said his scheme earned $755,000 in illegal profits over a three-year period. "This case is the insider trading version of the fox guarding the henhouse," said Robert Khuzami, the SEC's director of enforcement.

 

As the Senior Editor of Advanced Trading, Justin Grant plays a key role in steering the magazine's coverage of the latest issues affecting the buy-side trading community. Since joining Advanced Trading in 2010, Grant's news analysis has touched on everything from the latest ... View Full Bio

Previous
7 of 9
Next
Comment  | 
Print  | 
More Insights
Register for Wall Street & Technology Newsletters
White Papers
Current Issue
Wall Street & Technology - July 2014
In addition to regular audits, the SEC will start to scrutinize the cyber-security preparedness of market participants.
Video
Stressed Out by Compliance, Reputational Damage & Fines?
Stressed Out by Compliance, Reputational Damage & Fines?
Financial services executives are living in a "regulatory pressure cooker." Here's how executives are preparing for the new compliance requirements.