Search for: "Joseph Sansone" Results 1 - 20 of 36
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SEC charges former Arista Networks Chairman Andy Bechtolsheim with insider trading on acquisition of Acacia
26 Mar 2024, 8:11 am by jeffreynewmanadmin
Sansone. [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
SEC charges Morgan Stanley and former exec with fraud in block trading and MS to pay $249 Million
12 Jan 2024, 8:56 am by jeffreynewmanadmin
The case was supervised by Paul Kim and Joseph Sansone. [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
SEC charges former financial analyst for Goldman Sachs Group and three others with insider trading
28 Sep 2023, 10:03 am by jeffreynewmanadmin
Sansone. [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
SEC charges Citigroup for willfully violating record keeping on expenses relating to underwriting business
31 Aug 2023, 8:09 am by jeffreynewmanadmin
It was supervised by Joseph Sansone. [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
SEC charges Digital World Special purpose acquisition company for filing false forms with the SEC as part of IPO and fines it $18 million
24 Jul 2023, 12:19 pm by jeffreynewmanadmin
The case was supervised by Joseph Sansone of the Market Abuse Unit and Thomas P. [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
Securities and Exchange commission charges financial services professional and associate in $47 Million front running scheme
16 Dec 2022, 11:34 am by jeffreynewmanadmin
Sansone. [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
Enforcement: SEC Finds a Couple of 10b5-1 Plan Poster Children
22 Sep 2022, 3:10 am by John Jenkins
Sansone, Chief of the SEC Enforcement Division’s Market Abuse Unit. [read post]
TheCorporateCounsel.net Blog - http://www.thecorporatecounsel.net/Blog/
Securities and Exchange Commission charges former employee of online gambling company Penn INteractive Ventures with insider trading over parent company’s acquisition of Score Media
14 Jun 2022, 8:06 am by jeffreynewmanadmin
Green and Joseph G. [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
A lot of dough: Domino's accountant gets extra-large insider trading penalty
25 Apr 2022, 6:18 am by John Jascob
Sansone, Chief of the SEC’s Market Abuse Unit. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
SEC charges partner at McKinsey Consulting with Insider trading in advance of acquisition
12 Nov 2021, 12:29 pm by jeffreynewmanadmin
Sansone. [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
S.E.C. using advanced data analytics to detect “front Running” stock purchases
6 Jul 2021, 7:50 am by jeffreynewmanadmin
Joseph G. [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
SEC says electronic trading platform operated as an unregistered broker-dealer
30 Jun 2021, 6:30 am by John Jascob
"Neovest circumvented the regulatory regime that grants broker-dealers the privilege of operating in our markets," said Joseph Sansone, Chief of the SEC Enforcement Division’s Market Abuse Unit. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Constantine Cannon Client Receives Maximum Award for Blowing the Whistle on ITG
21 May 2021, 10:23 am by luiza
As SEC Market Abuse Unit Chief Joseph Sansone has made clear, the SEC “continues to scrutinize dark pools to ensure that they protect client trading information and operate in compliance with the securities laws. [read post]
Whistleblower Insider - https://constantinecannon.com/practice/whistleblower/blog/
Former Corporate Insider, Middleman Tipper, and Six Traders Charged With Insider Trading
29 Sep 2017, 12:35 pm by Mark Astarita
Sansone. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Announces Enforcement Initiatives to Combat Cyber-Based Threats and Protect Retail Investors
25 Sep 2017, 3:16 pm by Mark Astarita
  Since 2015, he and Joseph Sansone have been Co-Chiefs of the Market Abuse Unit. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
State Street Paying Penalties to Settle Fraud Charges and Disclosure Failures
7 Sep 2017, 8:18 am by Mark Astarita
Pyszka, Joseph G. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Former Pharma Company Accountant, Three Others Charged With Insider Trading
31 Aug 2017, 11:37 am by Mark Astarita
Gibson and Joseph G. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Uncovers Wide-Reaching Insider Trading Scheme
16 Aug 2017, 12:35 pm by Mark Astarita
Sansone, Erin E. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Budget Proposal: Dodd-Frank Reserve Fund on Chopping Block
8 Jun 2017, 3:00 am by John Jenkins
The co-chief of that unit, Joseph Sansone, has repeatedly noted that it makes sense to invest resources into investigations when analysts notice patterns in multiple trades over a period of time. [read post]
TheCorporateCounsel.net Blog - http://www.thecorporatecounsel.net/Blog/
SEC Charges Cardiologist With Insider Trading on Confidential Drug Trial Developments
4 Aug 2016, 11:59 am by Mark Astarita
Kosinski illegally sold all of his stock in the company to avoid thousands of dollars in losses when the bad news came out,” said Joseph Sansone, Co-Chief of the SEC Enforcement Division’s Market Abuse Unit. [read post]
Securities Law Blog - http://seclaw.blogspot.com/