The Securities and Exchange Commission recently filed insider trading charges against a doctor who is alleged to have purchased shares in a supply chain services company on the basis of a tip of material, non-public information he received from a company executive​ concerning an impending acquisition.  The SEC further alleged that he then sold the shares at a profit once the acquisition...Read More

The Securities and Exchange Commission (SEC) recently brought insider trading charges against the former Chief Executive Officer of a fiber optics company. The SEC Complaint alleges that Peter Chang, founder, CEO and chairman of the board of Alliance Fiber Optic Products utilized secret brokerage accounts in the names of family members (wife and brother) to trade in his company stock...Read More

The Securities and Exchange Commission (SEC) recently brought civil charges against a former law partner at a large, international law firm and his neighbor for allegedly engaging in insider trading. The pair is reported to have netted in excess of $1 million in ill-gotten gains. In its complaint, the SEC claims that Walter C. Little...Read More

The Securities and Exchange Commission (SEC) recently secured an emergency court order effectively freezing several securities brokerage accounts comprised of more than $29 million in alleged illegal profits from claimed insider trading in connection with Comcast Corp.’s 2016 acquisition of DreamWorks Animation SKG, Inc. The SEC asserts that in the weeks prior to the announcement...Read More

While the SEC has always prioritized insider trading investigations in its enforcement program, and publicly touts its successful cases when filed and settled, the truth is that many insider trading investigations simply do not see the light of day and are closed without enforcement action. The reason: insider trading is very difficult for the SEC...Read More

If you are under investigation by the SEC for insider trading, you are likely to have many questions and, understandably, serious concerns. I decided to write this article to answer many of the basic questions those under investigation for insider trading typically have, as well as to provide insight into the process by which the...Read More