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  1. Wells Fargo to pay $5 million over broker's insider trading

    Firm admits wrongdoing; broker accused of misusing confidential customer information to trade on Burger King acquisition.

  2. Wells Fargo Advisors to pay $5 million fine over controls failure

    Wells Fargo Advisors to pay $5 million fine over controls failure

  3. Fmr. SAC trader Martoma sentenced to 9 years for insider trading

    Fmr. SAC trader Martoma sentenced to 9 years for insider trading

  4. Hong Kong Regulators Pursue Chinese State-Owned Firm Citic -- Update

    Hong Kong Regulators Pursue Chinese State-Owned Firm Citic -- Update

  5. Allergan to Request California Federal Court Block Valeant and Pershing Square from Voting Shares Acquired in Violation of Insider Trading Laws

    Allergan to Request California Federal Court Block Valeant and Pershing Square from Voting Shares Acquired in Violation of Insider Trading Laws

  6. SEC, FINRA Enforcement Roundup: Insider Trading Ring Busted; Raymond James Hit

    Among recent actions taken by the SEC and FINRA were the breakup of an insider trading ring; Raymond James getting fined and censured; and proceedings over securities law violations by the Big Four accounting firms' China affiliates.

  7. SEC Charges Raj Rajaratnam’s Brother With Insider Trading

    Rajarengan “Rengan” Rajaratnam was charged by the SEC Thursday for his role in the massive Galleon insider trading scheme.

  8. SEC Slams Level Global With $21.5M Insider Trading Fine

    The hedge fund advisory firm Level Global Investors has agreed to pay more than $21.5 million to settle charges that its co-founder and analyst engaged in repeated insider trading of Dell and Nvidia stock.

  9. BlackRock Manager Facing Insider Trading Charges

    BlackRock disputes the allegations and is defending the manager.

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