insider trading

Source: news.yahoo.com --- 12 hours ago
Reuters - A former top lawyer at UBS AG has agreed to pay $6.5 million to settle accusations he sold his personal holdings of auction-rate securities after getting insider information about the collapsing market for the debt. ...

Source: www.forbes.com --- 10 hours ago
New York Attorney General Andrew Cuomo is taking aim at Wall Street. ...

Source: www.reuters.com --- 12 hours ago
NEW YORK (Reuters) - A former top lawyer at UBS AG has agreed to pay $6.5 million to settle accusations he sold his personal holdings of auction-rate securities after getting insider information about the collapsing market for the debt. ...

Source: blogs.wsj.com --- 4 hours ago
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Source: wcbstv.com --- 12 hours ago
The former chief lawyer for UBS's investment bank has agreed to pay $6.5 million to settle an allegation that he dumped his investments in auction-rate securities after getting a company e-mail warning that the market was in trouble, state officials said Tuesday. ...

Source: www.mondovisione.com --- 11 hours ago
The Securities and Exchange Commission today charged a former vice president at national home furnishing retailer Restoration Hardware with insider trading for tipping three friends that the company was about to be acquired, enabling them to make more than $900,000 in unlawful profits when public announcement of the subsequent merger caused the stock price to soar. ...

Source: www.insideworld.com --- 12 hours ago
Visit our website to read more www.InsideWorld.com . Or if you are already subscribed hit this story link . ...

Source: www.mondovisione.com --- 7 hours ago
Aufhauser Sold-Off Personal Holdings of Auction Rate Securities Minutes After Receiving insider Information About UBS's Collapsing Auction Rate Securities Market Cuomo Secures Agreement for Aufhauser to Pay Back $6.5 Million to New York State; Aufhauser Subjected to Two Year Ban from the Securities Industry and from Practicing Law in the State ...

Source: www.abajournal.com --- 12 hours ago
The former general counsel of investment bank UBS AG has agreed to pay $6.5 million to resolve an insider trading investigation by the New York attorney general. The settlement calls for lawyer David Aufhauser to give up a $6 million bonus he received and pay a $500,000 civil penalty, the… ...

Source: www.topix.com --- 5 hours ago
The former chief lawyer for UBS's investment bank has agreed to pay $6.5 million to settle an allegation that he dumped his investments in auction-rate securities after getting a company e-mail warning that the ... ...

Source: www.topix.com --- 1 hour ago
NEW YORK (Reuters) - A former top lawyer at UBS AG has agreed to pay $6.5 million to settle accusations that he sold his personal holdings of auction-rate securities after acquiring insider information about the collapsing market for the debt, New York's attorney general said. David Aufhauser, who had been general counsel of UBS AG's global investment bank operations, is also subject to a two-year ban from the securities industry and from practicing law in the state for two years under the terms of the settlement, said Attorney General Andrew Cuomo on Tuesday. ...

Source: news.yahoo.com --- 1 day ago
Reuters - A federal inquiry has concluded that the U.S. Securities and Exchange Commission should consider disciplining its director of enforcement and two supervisors for their role in handling an insider trading investigation, The New York Times said citing an obtained report. ...

Source: www.nytimes.com --- 13 hours ago
The former general counsel of UBS’s investment bank will give up a $6 million bonus he received from UBS to the state of New York under the terms of the settlement in the insider-trading case. ...

Source: dealbook.blogs.nytimes.com --- 18 hours ago
A federal inquiry has concluded that the Securities and Exchange Commission should consider disciplining its director of enforcement and two supervisors for their role in handling an insider trading investigation that led to the firing of an S.E.C. lawyer for trying to interview an influential Wall Street executive. The commission’s inspector general, H. David Kotz, said [...] ...

Source: www.reuters.com --- 1 day ago
(Reuters) - A federal inquiry has concluded that the U.S. Securities and Exchange Commission should consider disciplining its director of enforcement and two supervisors for their role in handling an insider trading investigation, The New York Times said citing an obtained report. ...

Source: www.moreover.com --- 1 day ago
(M2 PressWIRE Via Acquire Media NewsEdge) RDATE:04102008 Several insiders at Discover Financial Services (DFS) have reported buying more than $368.60K today: - Hochschild Roger C, President and COO: reported buying $126. ...

Source: www.moreover.com --- 1 day ago
(M2 PressWIRE Via Acquire Media NewsEdge) RDATE:04102008 As the stock was trading near its 52-week low, George W Whitney, Vice President at Royce Focus Trust Inc (FUND) has reported buying $344.83K today. ...

Source: online.wsj.com --- 12 hours ago
Former Treasury and UBS official David Aufhauser settled with New York's attorney general on allegations of insider trading in the auction-rate securities market. ...