A Morgan Stanley broker, Vladimir Eydelman, 42, and a law firm employee, Steven Metro, 40, managing clerk at Simpson Thacher & Bartlett LLP in New York, were charged with insider trading on March 19th. Steven Metro, was accused of stealing confidential data on 13 corporate transactions and telling a middleman who then passed it on […]

On June 5, 2013, the Securities and Exchange Commission (SEC) charged that Laidlaw Energy Group was targeted in an SEC trading suspension involving questionable penny stocks, and also charged the CEO, Michael B. Bartoszek, who allegedly profited from selling his shares while investors were unaware of the company's financial struggles. According to Reuters, Laidlaw Energy […]

The following are excerpts from Richard G. Ketchum, Chairman and CEO of FINRA, the Financial Industry Regulatory Authority, and Chairman and Chief Executive Officer Research Center on the Prevention of Financial Fraud in Washington, DC, Thursday, November 3, 2011. "We bring together policymakers, researchers, practitioners, law enforcement and others to discuss how we can better share […]