Browsing: Blog

Insider Trading Continued (and to be continued)

04/28/2011
New York – Developments don’t stop in the insider-trading cases started by Preet Bharara, U.S Attorney for the Southern District of New York. Today, Don Ching Trang Chu, an expert consultant ...

Dirks v. SEC

04/26/2011
New York – The current definitions of insider trading owe much to a U.S. Supreme Court decision which capped a battle between Raymond L. Dirks and the Securities and Exchange ...

Massachusetts Looks to Regulate Expert Networks

04/25/2011
New York, NY – Last week, Massachusetts became the first state in the country to propose rules to regulate the expert network industry.  While such a move appears to be ...

SEC Sweeps Alpha Capture Platforms

04/19/2011
New York – The U.S. Securities and Exchange Commission has conducted a series of ‘sweeps’ focusing on ‘alpha capture’ platforms, according to a panelist at the recent Investorside Members’ Day ...

Galleon Defense Strategy a Puzzling Mosaic

04/18/2011
New York, NY – As the insider trading case against Galleon founder Raj Rajaratnam comes to an end, we look back on the case and scratch our heads about the ...

Insider trading charge No. 47 (and counting)

04/15/2011
Joseph Skowron, an ex portfolio manager at FronPoint Partners, surrendered to the FBI on Wednesday after being charged with insider trading. Allegedly, Skowron sold his stakes in a drug company ...

Dire Forecasts

04/12/2011
New York – A pending study has labeled the fund management as ‘overpaid’ and destroying $1.3 trillion in value each year.  Sell-side research is identified as contributing to the value ...

Crooks, Not Hedge Funds in Fed’s Cross Hairs

04/11/2011
NYC, NY – Last week the FBI arrested Matthew Kluger, a former attorney at Wilson Sonsini Goodrich and Rosati; and Garrett Bauer, a stock trader in an alleged insider trading scheme ...

Fusion GPS – Investigative reporting approach to investment research

04/07/2011
Fusion GPS was recently founded by experienced investigative journalists to provide clients with research that goes beyond standard due diligence methods. Through an extensive network of contacts built over years ...

Regulating Debt Research

04/05/2011
New York – A lively topic at the recent SIFMA compliance conference was a FINRA concept release creating more regulation of debt research.  The new regulation would create barriers between ...
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