Works Cited
Carney, John. "Heinz and the Perfect Insider Trading Scheme." CNBC.com. CNBC LLC, 22 Feb.
2013. Web. 12 Mar. 2013.
This news article contains a real life example of insider trading that occurred in Heinz Company. It gave a brief background about how SEC goes about investigating suspicious trading.
Lanigan, Jane, ed. Money, Banking, and Finance. Vol. 1. Danbury, Connecticut: Grolier
Educational, 2000. Print. Economics.
This is a reference book that gives us a broader background knowledge on corporate crime.
Lanigan, Jane, ed. Business Operations. Vol. 2. Danbury, Connecticut: Grolier Educational,
2000. Print. Economics.
This is a reference book that contained definitions and economic terms that further help our understanding of insider trading.
Rachlin, Harvey. “ Corporations” The Money Encyclopedia. Harper and Row, New York. Print.
This reference book provides definitions to key economic terms and topics related to insider trading.
"SEC Enforcement Actions: Insider Trading Cases." SEC Enforcement Actions: Insider Trading
Cases. U.S Securities and Exchange, 01 Feb. 2013. Web. 12 Mar. 2013
This website contained over 50 court cases pertaining to insider trading in which SEC brought charges to the multiple defendants.
http://www.sec.gov/spotlight/insidertrading/cases.shtml
Security and Exchange Commission V. Kevin L Dowd. United States District Court District Of
New Jersey. 25 Jan. 2013. U.S Security and Exchange Commission. Web.
This is a court case in which SEC charged Kevin L. Dowd with illegally tipping inside information he learned about the upcoming sale of a pharmaceutical company in exchange for $35,000 and a jet ski dock.
Security and Exchange Commission v. Tiger Asia Management, Llc, Tiger Asia Partners, Llc, Sung
Kook (A/K/A Bill) Hwang, And Raymond Y.H. Parktiger Asia Management, Llc, Tiger Asia
Partners, Llc, Sung Kook (A/K/A Bill) Hwang, And Raymond Y.H. Park. U.S Security and Exchange Commissions. UNITED STATES DISTRICT COURT DISTRICT OF NEW JERSEY. 12 Dec. 2012. Web.
This is a court case in which SEC charged the manager of two New York-based hedge funds with conducting a pair of trading schemes involving Chinese bank stocks and making $16.7 million in illicit profits. Sung Kook "Bill" Hwang and his firms Tiger Asia Management and Tiger Asia Partners agreed to pay $44 million to settle the charges.
Security and Exchange Commission v. Tiger Asia Management, Llc, Tiger Asia Partners, Llc, Sung
Kook (A/K/A Bill) Hwang, And Raymond Y.H. Parktiger Asia Management, Llc, Tiger Asia
Partners, Llc, Sung Kook (A/K/A Bill) Hwang, And Raymond Y.H. Park. U.S Security and Exchange Commissions. UNITED STATES DISTRICT COURT DISTRICT WESTERN DISTRICT OF NORTH CAROLINA CHARLOTTE Division. 5 Dec. 2012. Web.
This is a court case in which SEC charged an investment banker and nine others in an insider trading ring that garnered more than $11 million in illicit profits trading on confidential information about impending mergers. The investment banker misused his position at Wells Fargo Securities to illegally tip friends about four impending merger transactions involving firm clients.
Security and Exchange Commission v. Thomas C. Conradt & David J. Weishaus. U.S Security and
Exchange Commissions. United States Court for the Southern District of New York. 29 November 2012. Web.
This is a court case in which SEC charged two brokers who worked at a Connecticut-based broker-dealer with insider trading on nonpublic information ahead of IBM's acquisition of SPSS Inc. One of the brokers learned confidential details from his roommate, a research analyst who obtained the information from an attorney working on the transaction who discussed it in confidence. The insider trading yielded more than $1 million in illicit profits.
Security and Exchange Commission v. JOHN LAZORCHAK, MARK S. CUPO, MARK D. FOLDY,
MICHAEL L. CASTELLI, LAWRENCE D. GRUM, MICHAEL T. PENDOLINO, and JAMES N. DEPRADO. U.S Security and Exchange Commissions. U.S District Court District of New Jersey. 19 November 2012.Web.
This is a court case in which SEC charged three health care company employees and four others in a New Jersey-based insider trading ring of various high school friends generating $1.7 million in illegal profits and kickbacks by trading in advance of 11 public announcements involving mergers, a drug approval application, and quarterly earnings of pharmaceutical companies and medical technology firms.
Securities and Exchange Commission v. ARTHUR J. CUTTIT.LO, JASON C. GOLDFARB,
ZVIGOFFER, CRAIG C. DRIMAL, SCHOTTENFELD GROUP,IJLC, GAUTHAM SHANKAR, DAVID PLATE:, EMANUELGoffer, and MICHAEL KIM'ELMAN,US Security and Exchange Commissions. United States District Court Southern New York. 05 November 2009. Web.
This is a court case where the SEC charged a Wall Street Ring that made over $20 Million Serially trading on aquisition information tipped by attorney at international web firm.
Securities and Exchange Commission v. Kris Chellam. United States Court for the Southern
District of New York. 26 Oct 2012. Web.
This is a court case in which SEC charged a former senior executive at a Silicon Valley technology company for illegally tipping convicted hedge fund manager Raj Rajaratnam with nonpublic information that allowed the Galleon hedge funds to make nearly $1 million in illicit profits.
Securities and Exchange Commission v. Jauyo Lee and Victor Chen. U.S Security and Exchange
Commissions. UNITED STATES DISTRICT COURT FOR THE NORTHERN DISTRICT OF CALIFORNIA SAN FRANCISCO DIVISION. 27 Sept 2012.Web.
This is a court case in which SEC charged a former analyst at a Boston-based investment bank with illegally tipping a longtime college friend with confidential information he gleaned from unsuspecting co-workers about clients involved in impending mergers and acquisitions. The insider trading resulted in more than $600,000 in illegal profits.
Securities and Exchange Commission v. Waldyr Da Silva Prado. U.S Security and Exchange
Commissions. UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK. 20 Sept 2012.Web.
This is a court case in which SEC obtained an emergency court order to freeze the assets of a stockbroker who used nonpublic information from a customer and engaged in insider trading ahead of Burger King's announcement that it was being acquired by a New York private equity firm.
Security and Exchange Commission v. H Thomas Davis. U.S Security and Exchange Commissions.
UNITED STATES DISTRICT COURT EASTERN DISTRICT OF NORTH CAROLINA SOUTHERN DIVISION. 20 Sept 2012. Web.
This is a court case in which SEC charged a former member of the board of directors at a North Carolina-based insurance company with illegally tipping inside information about an impending merger to a friend and business associate, who subsequently tipped his golfing partner
Security and Exchange Commission v. Renee White Fraser. U.S Security and Exchange
Commissions. UNITED STATES DISTRICT COURT CENTRAL DISTRICT OF CALIFORNIA.5 Sept 2012. Web.
This is a court case in which SEC charged the CEO of a Los Angeles-based public relations firm with insider trading on nonpublic information she learned from a client that was about to acquire a bank in a deal assisted by the FDIC.
Security and Exchange Commission v. C. Roan Berry. U.S Security and Exchange Commissions.
UNITED STATES DISTRICT COURT FOR THE NORTHERN DISTRICT OF GEORGIA
ATLANTA DIVISION. 28 Aug 2012.Web.
This is a court case in which SEC charged eight individuals living in the Griffin, Ga., area for their involvement in an insider trading ring that generated more than $500,000 in illegal profits based on nonpublic information about an upcoming company merger.
Security and Exchange Commission v. Robert D. Ramnarine. U.S Security and Exchange
Commissions. UNITED STATES DISTRICT COURT DISTRICT OF NEW JERSEY. 2 Aug 2012. Web.
This is a court case in which SEC charged Bristol-Myers Squibb executive Robert Ramnarine with insider trading for more than $300,000 in illegal profits by exploiting confidential information about companies being targeted for potential acquisitions by Bristol-Myers Squibb.
Security and Exchange Commission v. Manoucher Moshayedi. U.S Security and Exchange
Commissions.UNITED STATES DISTRICT COURT CENTRAL DISTRICT OF CALIFORNIA. 19 July 2012. Web.
This is a court case in which SEC charged the chairman and CEO of a California-based computer storage device company with insider trading in the secondary offering of his stock shares at a time when he knew that a major customer's demand for one of the company's most profitable products was turning out to be less than expected.
Security and Exchange Commission v. Tai Nguyen. U.S Security and Exchange Commissions.
UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK . 26 Jun 2012. Web.
This is a court case in which SEC charged the owner of the California-based equity research firm Insight Research with insider trading as part of agency’s ongoing investigation of insider trading involving “expert networks” that provide specialized information to investment firms.
Securities and Exchange Commission v. Reema D. Shaw. U.S Security and Exchange
Commissions. UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK. 21 May 2012. Web.
This is a court case in which SEC charged a former executive at Yahoo! Inc. and a former mutual fund manager at a subsidiary of Ameriprise Financial Inc. with insider trading on confidential information about a search engine partnership between Yahoo and Microsoft.
Securities and Exchange Commission v. John Kinnucan. U.S Security and Exchange Commissions.
UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK. 17 Feb 2012. Web.
This is a court case in which SEC charged John Kinnucan and his Portland, Oregon-based expert consulting firm Broadband Research Corporation with tipping clients with material nonpublic information obtained from prohibited sources inside public companies. Clients then traded on the inside information.
Securities and Exchange Commission v. Douglass F. Whitman. U.S Security and Exchange
Commissions. UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK .10 Feb 2012. Web.
This is a court case in which SEC charged Douglas F. Whitman and his firm Whitman Capital for their involvement in the insider trading ring connected to Raj Rajaratnam and Galleon Management. Whitman's illegal trading resulted in nearly $1 million in ill-gotten gains.
Securities and Exchange Commission v. SPYRIDON ADONDAKIS, ANTHONY CHIASSON, SANDEEP
GOYAL, JON HORVATH, DANNY KUO, TODD NEWMAN, JESSE TORTORA. U.S Security and Exchange Commissions. UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK. 18 Jan 2012. Web.
This is a court case in which SEC charged multi-billion dollar hedge fund advisory firms Diamondback Capital Management LLC and Level Global Investors LP as well as seven fund managers and analysts involved in a $78 million insider trading scheme based on nonpublic information about Dell's quarterly earnings and similar information about Nvidia Corporation.
Securities and Exchange Commission v. Rajat Gupta. U.S Security and Exchange Commissions.
UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK . 26 Oct 2011. Web.
This is a court case in which SEC charged former McKinsey & Co. global head Rajat Gupta with illegally tipping hedge fund manager Raj Rajaratnam while serving on the boards of Goldman Sachs and Procter & Gamble.
Securities and Exchange Commission v. Scott Allen. U.S Security and Exchange Commissions.
UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK . 15 Sept 2012.Web.
This is a court case in which SEC charged a former global consulting firm executive and his friend who once worked on Wall Street with insider trading on confidential information about impending takeovers of two biotechnology companies for more than $2.6 million in illicit profits.
Securities and Exchange Commission v. Douglas V. Decinces. U.S Security and Exchange
Commissions. UNITED STATES DISTRICT COURT CENTRAL DISTRICT OF CALIFORNIA
SOUTHERN DIVISION. 4 Aug 2011. Web.
This is a court case in which SEC charged Doug DeCinces and three others with insider trading ahead of a company buyout and obtaining more than $1.7 million in illegal profits. DeCinces agreed to pay $2.5 million to settle the SEC's charges.
Security and Exchange Commission v. Matthew H. Kluger. U.S Security and Exchange Commissions. UNITED STATES DISTRICT COURT DISTRICT OF NEW JERSEY. 6 Apr 2011. Web.
This is a court case in which SEC charged charged corporate attorney Matthew Kluger and Wall Street trader Garrett Bauer for their involvement in a highly organized serial insider trading ring that traded in advance of merger and acquisition announcements involving clients of the law firm Wilson Sonsini Goodrich & Rosati. The ring made at least $32 million in illegal profits between April 2006 and March 2011.
Security and Exchange Commission v. Cheng Li Yiang. U.S Security and Exchange Commissions. UNITED STATES DISTRICT COURT DISTRICT OF MARYLAND (Greenbelt Division). 29 Mar 2011. Web.
This is a court case in which SEC charged Cheng Yi Liang, a chemist at the U.S. Food and Drug Administration, with insider trading on confidential information concerning upcoming announcements of FDA drug approval decisions, generating more than $3.6 million in illicit profits and avoided losses.
Securities and Exchange Commision v. Brien P. Santarlas. U.S. Security and Exchange
Commissions. United States District Court Southern District of New York. Dec. 10 2009. Web.
This court case deals with the SEC charging an additional attorney in 20$ million insider trading scheme, who is a former attorney at Ropes and Gray LLP.
Sterling, Dorothy. Wall Street: The story of the stock exchange. New York: Doubleday &
Company, 1955. Print.
This book contains a history behind wall street investments. It broadens our knowledge and helps us further understand the economics behind insider trading.
Swartz, Thomas R., and Frank J. Bonello. Taking Sides: Clashing Views on Controversial
Economic Issues. Second ed. Guilford: Dushkin Group, 1984. Print.
This book contains articles that debate both sides to economic controversies including insider trading.It gives a broader understanding of the reasons why people do insider trading and why they should’t.
Swartz, Thomas R., and Frank J. Bonello. Taking Sides: Clashing Views on Controversial
Economic Issues. Seventh ed. Guilford: Dushkin Group, 1995. Print.
This book contains articles that debate both sides to economic issues and it is more up to date.
http://www.sec.gov/answers/insider.htm
2013. Web. 12 Mar. 2013.
This news article contains a real life example of insider trading that occurred in Heinz Company. It gave a brief background about how SEC goes about investigating suspicious trading.
Lanigan, Jane, ed. Money, Banking, and Finance. Vol. 1. Danbury, Connecticut: Grolier
Educational, 2000. Print. Economics.
This is a reference book that gives us a broader background knowledge on corporate crime.
Lanigan, Jane, ed. Business Operations. Vol. 2. Danbury, Connecticut: Grolier Educational,
2000. Print. Economics.
This is a reference book that contained definitions and economic terms that further help our understanding of insider trading.
Rachlin, Harvey. “ Corporations” The Money Encyclopedia. Harper and Row, New York. Print.
This reference book provides definitions to key economic terms and topics related to insider trading.
"SEC Enforcement Actions: Insider Trading Cases." SEC Enforcement Actions: Insider Trading
Cases. U.S Securities and Exchange, 01 Feb. 2013. Web. 12 Mar. 2013
This website contained over 50 court cases pertaining to insider trading in which SEC brought charges to the multiple defendants.
http://www.sec.gov/spotlight/insidertrading/cases.shtml
Security and Exchange Commission V. Kevin L Dowd. United States District Court District Of
New Jersey. 25 Jan. 2013. U.S Security and Exchange Commission. Web.
This is a court case in which SEC charged Kevin L. Dowd with illegally tipping inside information he learned about the upcoming sale of a pharmaceutical company in exchange for $35,000 and a jet ski dock.
Security and Exchange Commission v. Tiger Asia Management, Llc, Tiger Asia Partners, Llc, Sung
Kook (A/K/A Bill) Hwang, And Raymond Y.H. Parktiger Asia Management, Llc, Tiger Asia
Partners, Llc, Sung Kook (A/K/A Bill) Hwang, And Raymond Y.H. Park. U.S Security and Exchange Commissions. UNITED STATES DISTRICT COURT DISTRICT OF NEW JERSEY. 12 Dec. 2012. Web.
This is a court case in which SEC charged the manager of two New York-based hedge funds with conducting a pair of trading schemes involving Chinese bank stocks and making $16.7 million in illicit profits. Sung Kook "Bill" Hwang and his firms Tiger Asia Management and Tiger Asia Partners agreed to pay $44 million to settle the charges.
Security and Exchange Commission v. Tiger Asia Management, Llc, Tiger Asia Partners, Llc, Sung
Kook (A/K/A Bill) Hwang, And Raymond Y.H. Parktiger Asia Management, Llc, Tiger Asia
Partners, Llc, Sung Kook (A/K/A Bill) Hwang, And Raymond Y.H. Park. U.S Security and Exchange Commissions. UNITED STATES DISTRICT COURT DISTRICT WESTERN DISTRICT OF NORTH CAROLINA CHARLOTTE Division. 5 Dec. 2012. Web.
This is a court case in which SEC charged an investment banker and nine others in an insider trading ring that garnered more than $11 million in illicit profits trading on confidential information about impending mergers. The investment banker misused his position at Wells Fargo Securities to illegally tip friends about four impending merger transactions involving firm clients.
Security and Exchange Commission v. Thomas C. Conradt & David J. Weishaus. U.S Security and
Exchange Commissions. United States Court for the Southern District of New York. 29 November 2012. Web.
This is a court case in which SEC charged two brokers who worked at a Connecticut-based broker-dealer with insider trading on nonpublic information ahead of IBM's acquisition of SPSS Inc. One of the brokers learned confidential details from his roommate, a research analyst who obtained the information from an attorney working on the transaction who discussed it in confidence. The insider trading yielded more than $1 million in illicit profits.
Security and Exchange Commission v. JOHN LAZORCHAK, MARK S. CUPO, MARK D. FOLDY,
MICHAEL L. CASTELLI, LAWRENCE D. GRUM, MICHAEL T. PENDOLINO, and JAMES N. DEPRADO. U.S Security and Exchange Commissions. U.S District Court District of New Jersey. 19 November 2012.Web.
This is a court case in which SEC charged three health care company employees and four others in a New Jersey-based insider trading ring of various high school friends generating $1.7 million in illegal profits and kickbacks by trading in advance of 11 public announcements involving mergers, a drug approval application, and quarterly earnings of pharmaceutical companies and medical technology firms.
Securities and Exchange Commission v. ARTHUR J. CUTTIT.LO, JASON C. GOLDFARB,
ZVIGOFFER, CRAIG C. DRIMAL, SCHOTTENFELD GROUP,IJLC, GAUTHAM SHANKAR, DAVID PLATE:, EMANUELGoffer, and MICHAEL KIM'ELMAN,US Security and Exchange Commissions. United States District Court Southern New York. 05 November 2009. Web.
This is a court case where the SEC charged a Wall Street Ring that made over $20 Million Serially trading on aquisition information tipped by attorney at international web firm.
Securities and Exchange Commission v. Kris Chellam. United States Court for the Southern
District of New York. 26 Oct 2012. Web.
This is a court case in which SEC charged a former senior executive at a Silicon Valley technology company for illegally tipping convicted hedge fund manager Raj Rajaratnam with nonpublic information that allowed the Galleon hedge funds to make nearly $1 million in illicit profits.
Securities and Exchange Commission v. Jauyo Lee and Victor Chen. U.S Security and Exchange
Commissions. UNITED STATES DISTRICT COURT FOR THE NORTHERN DISTRICT OF CALIFORNIA SAN FRANCISCO DIVISION. 27 Sept 2012.Web.
This is a court case in which SEC charged a former analyst at a Boston-based investment bank with illegally tipping a longtime college friend with confidential information he gleaned from unsuspecting co-workers about clients involved in impending mergers and acquisitions. The insider trading resulted in more than $600,000 in illegal profits.
Securities and Exchange Commission v. Waldyr Da Silva Prado. U.S Security and Exchange
Commissions. UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK. 20 Sept 2012.Web.
This is a court case in which SEC obtained an emergency court order to freeze the assets of a stockbroker who used nonpublic information from a customer and engaged in insider trading ahead of Burger King's announcement that it was being acquired by a New York private equity firm.
Security and Exchange Commission v. H Thomas Davis. U.S Security and Exchange Commissions.
UNITED STATES DISTRICT COURT EASTERN DISTRICT OF NORTH CAROLINA SOUTHERN DIVISION. 20 Sept 2012. Web.
This is a court case in which SEC charged a former member of the board of directors at a North Carolina-based insurance company with illegally tipping inside information about an impending merger to a friend and business associate, who subsequently tipped his golfing partner
Security and Exchange Commission v. Renee White Fraser. U.S Security and Exchange
Commissions. UNITED STATES DISTRICT COURT CENTRAL DISTRICT OF CALIFORNIA.5 Sept 2012. Web.
This is a court case in which SEC charged the CEO of a Los Angeles-based public relations firm with insider trading on nonpublic information she learned from a client that was about to acquire a bank in a deal assisted by the FDIC.
Security and Exchange Commission v. C. Roan Berry. U.S Security and Exchange Commissions.
UNITED STATES DISTRICT COURT FOR THE NORTHERN DISTRICT OF GEORGIA
ATLANTA DIVISION. 28 Aug 2012.Web.
This is a court case in which SEC charged eight individuals living in the Griffin, Ga., area for their involvement in an insider trading ring that generated more than $500,000 in illegal profits based on nonpublic information about an upcoming company merger.
Security and Exchange Commission v. Robert D. Ramnarine. U.S Security and Exchange
Commissions. UNITED STATES DISTRICT COURT DISTRICT OF NEW JERSEY. 2 Aug 2012. Web.
This is a court case in which SEC charged Bristol-Myers Squibb executive Robert Ramnarine with insider trading for more than $300,000 in illegal profits by exploiting confidential information about companies being targeted for potential acquisitions by Bristol-Myers Squibb.
Security and Exchange Commission v. Manoucher Moshayedi. U.S Security and Exchange
Commissions.UNITED STATES DISTRICT COURT CENTRAL DISTRICT OF CALIFORNIA. 19 July 2012. Web.
This is a court case in which SEC charged the chairman and CEO of a California-based computer storage device company with insider trading in the secondary offering of his stock shares at a time when he knew that a major customer's demand for one of the company's most profitable products was turning out to be less than expected.
Security and Exchange Commission v. Tai Nguyen. U.S Security and Exchange Commissions.
UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK . 26 Jun 2012. Web.
This is a court case in which SEC charged the owner of the California-based equity research firm Insight Research with insider trading as part of agency’s ongoing investigation of insider trading involving “expert networks” that provide specialized information to investment firms.
Securities and Exchange Commission v. Reema D. Shaw. U.S Security and Exchange
Commissions. UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK. 21 May 2012. Web.
This is a court case in which SEC charged a former executive at Yahoo! Inc. and a former mutual fund manager at a subsidiary of Ameriprise Financial Inc. with insider trading on confidential information about a search engine partnership between Yahoo and Microsoft.
Securities and Exchange Commission v. John Kinnucan. U.S Security and Exchange Commissions.
UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK. 17 Feb 2012. Web.
This is a court case in which SEC charged John Kinnucan and his Portland, Oregon-based expert consulting firm Broadband Research Corporation with tipping clients with material nonpublic information obtained from prohibited sources inside public companies. Clients then traded on the inside information.
Securities and Exchange Commission v. Douglass F. Whitman. U.S Security and Exchange
Commissions. UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK .10 Feb 2012. Web.
This is a court case in which SEC charged Douglas F. Whitman and his firm Whitman Capital for their involvement in the insider trading ring connected to Raj Rajaratnam and Galleon Management. Whitman's illegal trading resulted in nearly $1 million in ill-gotten gains.
Securities and Exchange Commission v. SPYRIDON ADONDAKIS, ANTHONY CHIASSON, SANDEEP
GOYAL, JON HORVATH, DANNY KUO, TODD NEWMAN, JESSE TORTORA. U.S Security and Exchange Commissions. UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK. 18 Jan 2012. Web.
This is a court case in which SEC charged multi-billion dollar hedge fund advisory firms Diamondback Capital Management LLC and Level Global Investors LP as well as seven fund managers and analysts involved in a $78 million insider trading scheme based on nonpublic information about Dell's quarterly earnings and similar information about Nvidia Corporation.
Securities and Exchange Commission v. Rajat Gupta. U.S Security and Exchange Commissions.
UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK . 26 Oct 2011. Web.
This is a court case in which SEC charged former McKinsey & Co. global head Rajat Gupta with illegally tipping hedge fund manager Raj Rajaratnam while serving on the boards of Goldman Sachs and Procter & Gamble.
Securities and Exchange Commission v. Scott Allen. U.S Security and Exchange Commissions.
UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK . 15 Sept 2012.Web.
This is a court case in which SEC charged a former global consulting firm executive and his friend who once worked on Wall Street with insider trading on confidential information about impending takeovers of two biotechnology companies for more than $2.6 million in illicit profits.
Securities and Exchange Commission v. Douglas V. Decinces. U.S Security and Exchange
Commissions. UNITED STATES DISTRICT COURT CENTRAL DISTRICT OF CALIFORNIA
SOUTHERN DIVISION. 4 Aug 2011. Web.
This is a court case in which SEC charged Doug DeCinces and three others with insider trading ahead of a company buyout and obtaining more than $1.7 million in illegal profits. DeCinces agreed to pay $2.5 million to settle the SEC's charges.
Security and Exchange Commission v. Matthew H. Kluger. U.S Security and Exchange Commissions. UNITED STATES DISTRICT COURT DISTRICT OF NEW JERSEY. 6 Apr 2011. Web.
This is a court case in which SEC charged charged corporate attorney Matthew Kluger and Wall Street trader Garrett Bauer for their involvement in a highly organized serial insider trading ring that traded in advance of merger and acquisition announcements involving clients of the law firm Wilson Sonsini Goodrich & Rosati. The ring made at least $32 million in illegal profits between April 2006 and March 2011.
Security and Exchange Commission v. Cheng Li Yiang. U.S Security and Exchange Commissions. UNITED STATES DISTRICT COURT DISTRICT OF MARYLAND (Greenbelt Division). 29 Mar 2011. Web.
This is a court case in which SEC charged Cheng Yi Liang, a chemist at the U.S. Food and Drug Administration, with insider trading on confidential information concerning upcoming announcements of FDA drug approval decisions, generating more than $3.6 million in illicit profits and avoided losses.
Securities and Exchange Commision v. Brien P. Santarlas. U.S. Security and Exchange
Commissions. United States District Court Southern District of New York. Dec. 10 2009. Web.
This court case deals with the SEC charging an additional attorney in 20$ million insider trading scheme, who is a former attorney at Ropes and Gray LLP.
Sterling, Dorothy. Wall Street: The story of the stock exchange. New York: Doubleday &
Company, 1955. Print.
This book contains a history behind wall street investments. It broadens our knowledge and helps us further understand the economics behind insider trading.
Swartz, Thomas R., and Frank J. Bonello. Taking Sides: Clashing Views on Controversial
Economic Issues. Second ed. Guilford: Dushkin Group, 1984. Print.
This book contains articles that debate both sides to economic controversies including insider trading.It gives a broader understanding of the reasons why people do insider trading and why they should’t.
Swartz, Thomas R., and Frank J. Bonello. Taking Sides: Clashing Views on Controversial
Economic Issues. Seventh ed. Guilford: Dushkin Group, 1995. Print.
This book contains articles that debate both sides to economic issues and it is more up to date.
http://www.sec.gov/answers/insider.htm