CEO faces insider trading charges for selling company's stock based on advance knowledge of its negative earnings, and his own firing
A second former Stifel Nicolaus trader settles with SRO
Hedge fund traded on information about firm's pending block trades
Concerns about conflicts, insider trading, manipulation in pre-hedging trades
Target of insider trading case was prevented from airing abuse of process claims, court says
Regulator issues report with recommendations for building safe, sound markets
Man agrees to pay trading profits plus 50% to regulator
SEC, DoJ allege execs' emails were hacked to get inside information on earnings
Risky firms, crypto platforms add to compliance division's workload
Regulator proposes new regime to pay out disgorged funds to victims of misconduct