Browsing: Compliance

Do What The Smart Guys Are Doing

01/31/2011
New York, NY – Last week Bank of America Corp. agreed to settle accusations by the Securities and Exchange Commission that Merrill Lynch’s proprietary trading desk illegally traded based on ...

Employer’s Consent – Eliminating Risk for Expert Network Users?

01/24/2011
New York, NY – As the insider trading investigation has progressed over the past few months, numerous market participants have held extensive discussions about how best to limit the legal ...

More Fallout from the insider investigation

01/21/2011
New York – Earlier this week, two different news articles suggested that the fallout from the insider trading probe will likely involve regulation and increased calls for transparency.  Gerson Lehrman ...

Ex-PGR Analyst Pleads Guilty in Insider Trading Case

01/12/2011
New York, NY – Yesterday, Bob Nguyen, a former semiconductor vertical analyst at Mountain View, California-based expert network provider, Primary Global Research, plead guilty to conspiracy and fraud in Manhattan ...

Insider Probe Shifting Gears

01/10/2011
New York – Arrests in the insider trading case will resume shortly, possibly this week, according to sources ‘familiar with the matter’ speaking to the Wall Street Journal.  The investigation ...

What’s it worth?

01/06/2011
New York – Jail time, fines, court trials: these are the issues potentially facing those arrested in the insider trading probe currently being conducted by federal prosecutors.  If you were ...

Another One Bites The Dust In Insider Trading Investigation

01/03/2011
New York, NY – Although many in the U.S. financial markets were on vacation last week, U.S. prosecutors continued to toil in its ongoing investigation into alleged insider trading.  On ...

Gradient Analytics Stung Once Again

02/24/2006
According to an article published in the Wall Street Journal yesterday, independent research provider Gradient Analytics, has been named in a lawsuit brought by a publicly traded company accusing Gradient ...

Overstock.com Sues Hedge Fund and Indie Research Firm

08/16/2005
According to a press release published by the company last week, online retailer, Overstock.com, has filed suit against hedge fund Rocker Partners and research firm Gradient Analytics, claiming the companies conspired to ...
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