SEC Warning on Insider Stock Sales


Two top officials at the Securities and Exchange Commission warned this week that companies should pay more heed to the policies they use to govern senior executives’ stock sales, to prevent even the appearance of impropriety when an executive is selling shares.  The comments came from Bill Hinman, director of the Division of Corporation Finance,…

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iBusted: SEC Charges ex-Apple Exec


Well this is juicy: Apple’s former corporate secretary, who helped to craft the company’s policies against insider trading, has been charged by the Securities and Exchange Commission with insider trading. Gene Daniel Levoff, a senior lawyer at Apple for 10 years and the company’s corporate secretary from 2013 until Apple fired him last September, allegedly…

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Freudian Slip-Up Leads to SEC Charges

cco liability

Well this is crazy: the SEC busted a Seattle-area therapist today for insider trading based on information he picked up while in session with one of his patients. According to an SEC complaint filed today, Keith Peer, 43, had a patient in 2015 who was an employee at Zulily, an online retailer. Zulily was in…

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