Month: January 2011

As the Galleon trial approaches the insider trading ring that that began with two Ropes and Gray associates and the Galleon investigation keep spawning insider trading cases. Two new SEC civil insider trading actions and a criminal case were filed. …

TWO MORE GALLEON RELATED INSIDER TRADING CASES Read More »

Merrill Lynch resolved claims that it misused customer order information, charged certain customers undisclosed trading fees and failed to maintain proper records. The firm consented to the entry of a cease and desist order and agreed to pay a $10 …

MERRILL SETTLES SEC CLAIMS Read More »