The Commission filed two insider trading cases in the last two days where the person with access to the inside information traded and profited. One case is being litigated in federal district court. SEC v. Alpert, Civil Action No. 1:17-cv-01876 …
Year: 2017
SEC Charges Trader, Broker In Spoofing – Cross-Market Manipulation
The Commission’s latest market manipulation action centers on a foreign trading firm with an undisclosed owner and a U.S. broker-dealer where the undisclosed owner was imbedded as a registered representative, facilitating the scheme. The foreign trading firm became the broker’s …
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