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Posted on by T. Gorman Posted in SECActions

A political intelligence consultant, a former employee at the Centers for Medicare and Medicaid Services or CMS, and two partners at a New York hedge fund were found guilty by a jury on charges of conspiracy, securities fraud and wire …

Political Intelligence Consultant, CMS Official, Guilty of Insider Trading Read More »

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Posted on by T. Gorman Posted in SECActions

The SEC has in the past brought actions against political intelligence firms. One involved compliance procedures and required admissions as part of the settlement. In the Matter of Marwood Group Research, LLC, Adm. Proc. File No. 3-16970 (Nov. 24, 2015). …

SEC Charges Adviser With Deficient Controls Read More »

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