Browsing: Regulatory

More Fallout from the insider investigation

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 ...

TABB Report Indicates Expert Network Regulation Likely

New York – In a recent poll of institutional equity market participants by the TABB Group nearly 80% of respondents said that the compliance controls in place at expert networks ...

Ex-PGR Analyst Pleads Guilty in Insider Trading Case

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

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?

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

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 ...

SEC to Banks: Accept Payments Through CCAs

New York – The U.S. Securities and Exchange Commission issued a letter clarifying that investment banks providing proprietary research can be paid through Client Commission Arrangements (CCAs).  This innocuous letter ...

Gradient Analytics Stung Once Again

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 ... Sues Hedge Fund and Indie Research Firm

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