| | Press Release: SEC Charges 14 in Wall Street Insider Trading Ring | SEC-PR |
| | SEC Files Settled Insider Trading Action Against Texas CPA and Former Internal Audit Head of Public Company | SEC-PR |
| | SEC Files Emergency Action to Freeze Proceeds of Alleged Insider Trading in Reebok Securities | SEC-PR |
| | SEC v. Gallucci, Complaint, llm-upgrade | SEC-LR |
| | Press Release: SEC Charges British Trader With Making Over $3 Million in Illicit Profits Through Insider Trading in Petco | SEC-PR |
| | SEC Charges Four Brokers and Day Trader in Fraudulent "Squawk Box" Scheme | SEC-PR |
| | SEC Charges Two Friends of Former Imclone CEO Samuel Waksal with Insider Trading | SEC-PR |
| | Nicolo Nourafchan; Robert Yadgarov; Mark Alperin; Miakel Bishay; David Bratslavsky; Brian Fensterszaub; Mark Fensterszaub; Simon Fensterszaub; Gabriel Gershowitz; Fernando Grinberg; Boruch Hatanian; Yisroel Horowitz; Joseph Izsak; Daniel Kavian; Eliyahu Kavian; Nowel Milik; Lorenzo Nourafchan; David Ostrov; Gavryel Silverstein; Joseph Suskind; and Seth Winslow | SEC-PR |
| | Press Release: Martha Stewart and Peter Bacanovic Settle SEC's Insider Trading Charges; 2006-134; Aug. 7, 2006 | SEC-PR |
| | SEC Charges Eight More In Reebok Insider Trading Case | SEC-PR |
| | SEC v. Gallucci, et al., No. 99 Civ. 8765 (S.D.N.Y. Oct. 28, 1999), alleged that defendants engaged in insider tipping and trading ahead of public announcements of contemplated business combinations, violating Sections 10(b) and 14(e) of the Securities Exchange Act of 1934 and Rules 10b-5 and 14e-3 thereunder | SEC-LR |
| | Comp Pr2013 189 | SEC-PR |
| | SEC v. Youngdahl, No. 03 Civ. 6898 (S.D.N.Y. Sept. 4, 2003), the Commission alleged that the former Goldman Sachs vice president traded on confidential Treasury Department information provided by a consultant in violation of federal securities laws. | SEC-LR |
| | Securities and Exchange Commission v. Marco A. Perez, et al., No. 23-cv-08079 (C.D. Cal. Sept. 27, 2023), alleged insider trading by siblings who traded on nonpublic information regarding United Rentals Inc.'s acquisition of General Finance Corp. and realized $650,000 in illegal profits | SEC-LR |
| | In August 2000, the Commission adopted Rule 10b5-1, which, in part, provides an affirmative | SEC-PR |
| | SEC Charges Former Green Mountain Coffee Employee And Friend In $7 Million Insider Trading Scheme | SEC-PR |
| | SEC Charges Former SG Cowen Managing Director with Insider Trading and Fraud in Connection with "Pipe" Offerings | SEC-PR |
| 2026-05-06 | | SEC v. NICOLO NOURAFCHAN | SEC-PR |
| 2026-05-06 | | SEC Charges 21 Individuals with Alleged Wide-Reaching Insider Trading Scheme | SEC-PR |
| 2026-04-23 | | United States v. Van Dyke, No. 26-cr-215 (S.D.N.Y. Apr. 23, 2026), indicted for using classified information about Operation Absolute Resolve to profit from prediction market bets on Polymarket, resulting in over $400,000 in illicit gains | DOJ-SDNY |
| 2026-04-23 | | United States District Court Southern District of New York | DOJ-SDNY |
| 2026-04-21 | | SEC v. RAKESH AHUJA, No. 26-cv-03213 (S.D.N.Y. Apr. 21, 2026), Information, llm-upgrade | SEC-LR |
| 2026-04-21 | | Securities and Exchange Commission v. Ahuja, No. 26-cv-03213 (S.D.N.Y. Apr. 20, 2026), alleged insider trading by a former investment advisory firm employee who traded on material nonpublic information obtained during employment, resulting in approximately $65,000 in illicit profits and a settled judgment requiring disgorgement, interest, and a civil penalty | SEC-LR |
| 2026-04-01 | | Securities and Exchange Commission v. Smith et al., No. 26-cv-00193 (D. Idaho Mar. 31, 2026), alleged insider trading by former PetIQ executive and friend ahead of acquisition announcement, resulting in over $200,000 in illicit profits | SEC-LR |
| 2026-04-01 | | SEC v. MICHAEL A. SMITH and (S.D.N.Y. Apr. 1, 2026), Complaint, llm-upgrade | SEC-LR |
| 2026-03-31 | | SEC v. Brent David Willis (S.D.N.Y. Mar. 31, 2026), Judgment, llm-upgrade | SEC-LR |
| 2026-03-30 | | SEC v. BRENT CRANMER (S.D.N.Y. Mar. 30, 2026), Complaint, llm-upgrade | SEC-LR |
| 2026-03-30 | | SEC v. Cranmer, No. 26514 (S.D.N.Y. Aug. 18, 2025), U | SEC-LR |
| 2026-03-30 | | SEC v. RONALD SMITH (S.D.N.Y. Mar. 30, 2026), Complaint, llm-upgrade | SEC-LR |
| 2026-03-30 | | United States v. Smith (S.D.N.Y. Mar. 30, 2026), indicted for securities fraud, wire fraud, falsification of records, and conspiracy to engage in insider trading using stolen investment‑bank information. | DOJ-SDNY |
| 2026-03-30 | | SEC v. Ronald Smith, No. 26-cv-02582 (S.D.N.Y. Mar. 30, 2026), The SEC alleged that Smith engaged in insider trading by receiving material nonpublic information and profiting approximately $530,000. | SEC-LR |
| 2026-03-27 | | SEC v. BENJAMIN TAYLOR (S.D.N.Y. Mar. 27, 2026), Complaint, llm-upgrade | SEC-LR |
| 2026-03-27 | | Securities and Exchange Commission v. Taylor, et al., No. 19-cv-09744 (S.D.N.Y. Oct. 22, 2019), final consent judgments entered ordering Taylor to pay $500,000 in disgorgement and Windsor to pay $50,000 in disgorgement and a $50,000 civil penalty for allegedly participating in an insider trading scheme by misappropriating material nonpublic information from investment banking firms in London and t | SEC-LR |
| 2026-03-26 | | United States v. Gerard Ryan, S.D.N.Y. Mar. 26, 2026, Gerard Ryan pleaded guilty to insider trading securities fraud for trading on confidential drug‑approval information obtained from a family member. | DOJ-SDNY |
| 2026-03-23 | | SEC v. Sadigh, No. 26504 (S.D.N.Y. Aug. 25, 2015), U | SEC-LR |
| 2026-03-23 | | SEC v. ASHISH AGGARWAL (S.D.N.Y. Mar. 23, 2026), Judgment, llm-upgrade | SEC-LR |
| 2026-03-17 | | Securities and Exchange Commission v. Jorgensen, No. 1:26-cv-02115 (S.D.N.Y. Mar. 16, 2026), alleged insider trading and failure to file required disclosures based on material nonpublic information regarding Doximity, Inc.'s financial performance, resulting in approximately $2.5 million in profits and losses avoided | SEC-LR |
| 2026-03-17 | | SEC v. PAUL W. JORGENSEN (S.D.N.Y. Mar. 17, 2026), Complaint, llm-upgrade | SEC-LR |
| 2026-02-24 | | SEC v. Lewis et al., No. 1:23-cv-06438 (S.D.N.Y. July 26, 2023), SEC obtained final consent judgments ordering the defendants to pay penalties, disgorgement, and prejudgment interest for alleged insider trading. | SEC-LR |
| 2026-02-05 | | SEC v. Gerald Shvartsman, No. 26477 (S.D.N.Y. Feb. 5, 2026), Information, llm-upgrade | SEC-LR |
| 2026-02-05 | | SEC v. Squillante, No. 26478 (S.D.N.Y. Sept. 5, 2025), U | SEC-LR |
| 2026-01-30 | | SEC v. Van De Grift et al., No. 23-cv-01491 (S.D.N.Y. Feb. 22, 2023), the SEC alleged that Van De Grift engaged in insider trading of Verifone securities based on material nonpublic information disclosed by Friedman. | SEC-LR |
| 2026-01-30 | | Securities and Exchange Commission v. Van de Grift, No. 1:23-cv-01491 (S.D.N.Y. Feb. 22, 2023), ordered to pay disgorgement of $298,000 plus prejudgment interest of $69,022.67 and a civil penalty of $298,000 for insider trading based on material, nonpublic information tipped by a former consultant | SEC-LR |
| 2026-01-26 | | SEC v. BRIAN J. SUTHOFF (S.D.N.Y. Jan. 26, 2026), Complaint, llm-upgrade | SEC-LR |
| 2026-01-26 | | Securities and Exchange Commission v. Suthoff, No. 26-cv-10350 (D. Mass. Jan. 26, 2026), alleged insider trading by misappropriating material non-public information regarding FDA rejection of a drug candidate to avoid losses of $19,680 | SEC-LR |
| 2026-01-15 | | Hong (John) Wang and Precision Clinical Consulting, LLC | SEC-LR |
| 2026-01-15 | | SEC v. HONG WANG (a/k/a “JOHN WANG”) and | SEC-LR |
| 2026-01-09 | | United States v. Jorgensen, No. 26-cr-15 (S.D.N.Y. Jan. 9, 2026), pleaded guilty to securities fraud for trading in Doximity stock and options using material non-public information obtained in his capacity as Chief Revenue Officer | DOJ-SDNY |
| 2026-01-06 | | Securities and Exchange Commission v. Muhammad Saad Shoukat, et al., No. 2:25-cv-18864 (D.N.J. Dec. 22, 2025), alleged market manipulation of two pharmaceutical companies' stocks and a $41 million insider trading scheme involving material nonpublic information tipped by an investment banker | SEC-LR |
| 2025-12-23 | | Securities and Exchange Commission v. Bryan Scott McMillan, No. 4:24-cv-919-P (N.D. Tex. Sept. 26, 2024), alleged insider trading based on material nonpublic information obtained from a domestic partner, resulting in a final judgment ordering disgorgement, prejudgment interest, a civil penalty, and a two-year bar from serving as an officer or director of a public company. | SEC-LR |
| 2025-12-23 | | SEC v. Bryan Scott Mcmillan (S.D.N.Y. Dec. 23, 2025), Judgment, llm-upgrade | SEC-LR |
| 2025-11-18 | | SEC v. Anthony Viggiano, No. 26417 (S.D.N.Y. Sept. 28, 2023), Complaint, llm-upgrade | SEC-LR |
| 2025-09-23 | | SEC v. ANTHONY MARSICO (S.D.N.Y. Sept. 23, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-09-23 | | SEC v. ANTHONY MARSICO (S.D.N.Y. Sept. 23, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-09-23 | | SEC v. Anthony Marsico, No. 26408 (S.D.N.Y. Jan. 16, 2025), U | SEC-LR |
| 2025-09-23 | | SEC v. ANTHONY MARSICO (S.D.N.Y. Sept. 23, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-09-05 | | SEC v. RYAN C. SQUILLANTE, No. 25-CV- (S.D.N.Y. Sept. 5, 2025), Information, llm-upgrade | SEC-LR |
| 2025-09-05 | | SEC v. Ryan Squillante, No. 26388 (S.D.N.Y. Sept. 5, 2025), U | SEC-LR |
| 2025-08-18 | | SEC v. JUSTIN CHEN and (S.D.N.Y. Aug. 18, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-08-18 | | SEC v. Robert Yedid, No. 1:25-CV-06704 (S.D.N.Y. Aug. 14, 2025), U | SEC-LR |
| 2025-08-18 | | SEC v. ROBERT YEDID, No. 1:25-CV-06704 (S.D.N.Y. Aug. 18, 2025), Information, llm-upgrade | SEC-LR |
| 2025-08-18 | | SEC v. Chen et al., No. 26380 (E.D.N.Y. Aug. 21, 2025), U | SEC-LR |
| 2025-08-18 | | SEC v. Brent Cranmer, No. 26378 (S.D.N.Y. Aug. 18, 2025), U | SEC-LR |
| 2025-08-11 | | SEC v. Conway, No. 3:25-cv-2101 (N.D. Tex. Aug. 7, 2025), alleged insider trading of Cancer Genetics, Inc. shares based on material nonpublic information, resulting in approximately $160,000 in profits. | SEC-LR |
| 2025-08-11 | | SEC v. Conway, No. 26370 (S.D.N.Y. Aug. 7, 2025), U | SEC-LR |
| 2025-08-06 | | SEC v. Doron A. Tavlin, No. 26367 (S.D.N.Y. Aug. 6, 2025), U | SEC-LR |
| 2025-08-06 | | Securities and Exchange Commission v. Tavlin, et al., No. 0:22-cv-01723 (D. Minn. July 6, 2022), alleged insider trading in Mazor Robotics Ltd. securities by a former executive who tipped friends, who then traded ahead of a public acquisition announcement and concealed their conduct | SEC-LR |
| 2025-08-06 | | SEC v. Doron A. Tavlin et al., No. 22-1723 (D. Minn. July 25, 2025), the court permanently enjoined the defendant from violating Section 10(b) of the Exchange Act and ordered disgorgement of $32,875.47. | SEC-LR |
| 2025-07-30 | | SEC v. DISHANT GUPTA, No. 24-cv-12316 (S.D.N.Y. Jul. 30, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-07-30 | | SEC v. Dishant Gupta, No. 26364 (S.D.N.Y. Sept. 10, 2024), U | SEC-LR |
| 2025-07-22 | | SEC v. Brian M. Kashman, No. 26359 (S.D.N.Y. Jul. 22, 2025), U | SEC-LR |
| 2025-07-22 | | “SEC”) files this Complaint against Brian M. Kashman (“Kashman” or “Defendant”) | SEC-LR |
| 2025-07-21 | | Securities and Exchange Commission v. Robert Brian Thompson, Final Judgment (E.D. Va. Jul. 18, 2025), The court ordered Thompson to be permanently restrained and enjoined from violating Sections 10(b) and Rule 10b-5 of the Securities Exchange Act of 1934 and found him liable for disgorgement and prejudgment interest. | SEC-LR |
| 2025-07-21 | | SEC v. Robert Brian Thompson, No. 26356 (S.D.N.Y. Nov. 8, 2024), U | SEC-LR |
| 2025-07-15 | | SEC v. Watson et al., No. 26350 (S.D.N.Y. Jul. 15, 2025), U | SEC-LR |
| 2025-07-15 | | SEC v. ERIC J. WATSON, No. 18-cv (S.D.N.Y. Jul. 15, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-07-15 | | SEC v. ERIC J. WATSON, No. 27 (S.D.N.Y. Jul. 15, 2025), Complaint, ERIC J | SEC-LR |
| 2025-07-11 | | SEC v. Trijya Vakil and Neeraj Visen, No. 26348 (S.D.N.Y. Jul. 11, 2025), U | SEC-LR |
| 2025-07-11 | | SEC v. TRIJYA VAKIL and NEERAJ VISEN (S.D.N.Y. Jul. 11, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-06-10 | | SEC v. Jack Brewer, No. 26322 (S.D.N.Y. Aug. 6, 2020), U | SEC-LR |
| 2025-06-10 | | Plaintiff, the U.S. Securities and Exchange Commission (the “SEC”), brought this | SEC-LR |
| 2025-06-06 | | United States v. Yedid et al., S.D.N.Y. (June 6, 2025), the defendants pleaded guilty to participating in a five‑year insider‑trading scheme that generated over $500,000 in illicit profits. | DOJ-SDNY |
| 2025-05-30 | | SEC v. Civil Action No. 21-CV-12088 | SEC-LR |
| 2025-05-30 | | SEC v. Civil Action No. 21-CV-12088 | SEC-LR |
| 2025-05-23 | | United States v. Whitesides et al., S.D.N.Y. (May 23, 2025), the defendants pleaded guilty to securities fraud for trading on material nonpublic information about Kaman Corp.'s pending acquisition. | DOJ-SDNY |
| 2025-04-04 | | SEC Charges Silver Point Capital with Policy Failures Regarding Receipt of Material Nonpublic Information About Bonds Issued by Puerto Rico | SEC-PR |
| 2025-03-14 | | SEC v. Safi et al., No. 1:25-cv-10516 (D. Mass. Mar. 14, 2025), the SEC alleged that Safi and Ge engaged in an international insider‑trading scheme that generated over $17.5 million in illicit profits. | SEC-LR |
| 2025-03-14 | | SEC v. EAMMA SAFI and ZHI GE a/k/a JOSH GE | SEC-LR |
| 2025-03-10 | | Securities and Exchange Commission v. George N. Demos, No. 3:25-cv-00539-RSH-JLB (S.D. Cal. Mar. 7, 2025), alleged insider trading by a former corporate officer who sold Acadia Pharmaceuticals stock based on material nonpublic information regarding FDA rejection of a labeling proposal for NUPLAZID | SEC-LR |
| 2025-03-10 | | SEC v. George N. Demos, No. 26262 (S.D.N.Y. Mar. 7, 2025), U | SEC-LR |
| 2025-02-13 | | Judgment As a Matter of Law or for a New Trial | SEC-LR |
| 2025-02-13 | | SEC v. Charlie Jinan Chen, No. 26247 (S.D.N.Y. Apr. 5, 2018), defs:body | SEC-LR |
| 2025-02-10 | | SEC v. Anthony Marsico, No. 26243 (S.D.N.Y. Jan. 16, 2025), U | SEC-LR |
| 2025-02-06 | | SEC v. Frank T. Poerio, No. 26240 (S.D.N.Y. May 10, 2024), U | SEC-LR |
| 2025-02-06 | | SEC v. Civil Action No. 2:24-cv-700 | SEC-LR |
| 2025-02-04 | | SEC v. ANDRE WONG (S.D.N.Y. Feb. 4, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-02-04 | | SEC v. Wong, No. 26237 (S.D.N.Y. Feb. 4, 2025), U | SEC-LR |
| 2025-02-03 | | SEC v. John C. Lowe, No. 26236 (E.D.N.Y. Jan. 15, 2025), llm-upgrade | SEC-LR |
| 2025-02-03 | | SEC v. JOHN C. LOWE (S.D.N.Y. Feb. 3, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-01-21 | | Securities and Exchange Commission v. Gabriel Rebeiz, No. 3:25-cv-00124-BAS-KSC (S.D. Cal. Jan. 21, 2025), alleged insider trading in Resonant Inc. securities based on material non-public information obtained through his role on the company’s Technical Advisory Committee, resulting in $360,673 in illegal profits prior to a public acquisition announcement. | SEC-LR |
| 2025-01-21 | | SEC v. Gabriel Rebeiz, No. 26231 (S.D.N.Y. Jan. 22, 2025), U | SEC-LR |
| 2025-01-14 | | SEC v. ELON MUSK, No. 25-cv-105 (S.D.N.Y. Jan. 14, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-01-14 | | SEC v. Hari Prasad Sure, No. 26217 (S.D.N.Y. Mar. 28, 2022), defs:body | SEC-LR |
| 2025-01-13 | | SEC v. Alfred V. Tobia, No. 26218 (S.D.N.Y. Jan. 13, 2025), U | SEC-LR |
| 2025-01-13 | | SEC v. ALFRED V. TOBIA (S.D.N.Y. Jan. 13, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-01-06 | | SEC v. Amit Dagar and Atul Bhiwapurkar, No. 26210 (S.D.N.Y. Jan. 6, 2025), U | SEC-LR |
| 2025-01-03 | | SEC v. JOSEPH M. DUPONT (S.D.N.Y. Jan. 3, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-01-03 | | SEC v. JOSEPH M. DUPONT (S.D.N.Y. Jan. 3, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-01-03 | | SEC v. JOSEPH M. DUPONT (S.D.N.Y. Jan. 3, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-01-03 | | SEC v. JOSEPH M. DUPONT (S.D.N.Y. Jan. 3, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-01-03 | | SEC v. Joseph M. Dupont, No. 26209 (S.D.N.Y. Jan. 3, 2025), defs:body | SEC-LR |
| 2025-01-01 | | SEC v. JOHN C. LOWE | SEC-PR |
| 2025-01-01 | | SEC Charges Four Individuals for Long-Running Scheme to Unlawfully Trade in Advance of Numerous Follow-On Offerings | SEC-PR |
| 2025-01-01 | | SEC Charges Former Public Company Officer and His Sister-In-Law with Insider Trading | SEC-PR |
| 2024-12-30 | | SEC v. Dale B. Chappell, No. 26206 (S.D.N.Y. May 20, 2024), defs:body | SEC-LR |
| 2024-12-30 | | SEC v. DALE B. CHAPPELL, No. 10b5-1 (S.D.N.Y. Dec. 30, 2024), Amended Complaint, llm-upgrade | SEC-LR |
| 2024-12-20 | | SEC v. Silver Point Capital, No. 26202 (S.D.N.Y. Dec. 20, 2024), U | SEC-LR |
| 2024-12-19 | | SEC v. Curt Ludwig Dewitz, No. 26200 (S.D.N.Y. Dec. 18, 2024), U | SEC-LR |
| 2024-12-05 | | SEC v. Jordan Qsar, No. 26186 (S.D.N.Y. Dec. 5, 2024), U | SEC-LR |
| 2024-11-19 | | SEC v. Robert Brian Thompson, No. 26172 (S.D.N.Y. Nov. 8, 2024), U | SEC-LR |
| 2024-11-19 | | SEC v. Robert Brian Thompson, No. 48352 (S.D.N.Y. Nov. 19, 2024), Information, llm-upgrade | SEC-LR |
| 2024-10-31 | | SEC v. Carlos Sacanell, No. 26168 (S.D.N.Y. Oct. 31, 2024), U | SEC-LR |
| 2024-10-17 | | SEC v. RUIMIN XIE, No. 24-cv- (S.D.N.Y. Oct. 17, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-10-17 | | SEC v. Ruimin Xie, No. 26162 (S.D.N.Y. Oct. 15, 2024), U | SEC-LR |
| 2024-10-15 | | SEC v. MATTHEW GROOM, No. 978173 (S.D.N.Y. Oct. 15, 2024), Information, llm-upgrade | SEC-LR |
| 2024-10-15 | | SEC v. Matthew Groom, No. 26159 (S.D.N.Y. Oct. 15, 2024), U | SEC-LR |
| 2024-10-01 | | SEC v. Barry Siegel, No. 26147 (S.D.N.Y. Sept. 24, 2024), U | SEC-LR |
| 2024-09-30 | | In re MARATHON ASSET | SEC-PR |
| 2024-09-27 | | SEC v. Robert B. Westbrook, No. 26141 (S.D.N.Y. Sept. 27, 2024), U | SEC-LR |
| 2024-09-26 | | SEC v. McMillan, No. 4:24-cv-919 (N.D. Tex. Sep. 26, 2024), The SEC alleged that McMillan engaged in insider trading by purchasing Apollo Endosurgery shares on the basis of material nonpublic information about an impending acquisition. | SEC-LR |
| 2024-09-26 | | SEC v. Bhardwaj et al., No. 26131 (S.D.N.Y. Sept. 26, 2024), defs:body | SEC-LR |
| 2024-09-26 | | SEC v. Bryan Scott McMillan, No. 26133 (S.D.N.Y. Sept. 26, 2024), U | SEC-LR |
| 2024-09-25 | | In re David L. Kanen | SEC-PR |
| 2024-09-24 | | SEC v. Watson et al., No. 26124 (S.D.N.Y. Sept. 24, 2024), U | SEC-LR |
| 2024-09-24 | | SEC v. BARRY SIEGEL (S.D.N.Y. May 17, 2023), Complaint, llm-upgrade | SEC-LR |
| 2024-09-24 | | SEC v. Barry Siegel, No. 26123 (S.D.N.Y. Sept. 24, 2024), U | SEC-LR |
| 2024-09-24 | | SEC v. ERIC J. WATSON, No. 18-cv (S.D.N.Y. Sept. 24, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-09-19 | | SEC v. Philip Markin, No. 26113 (S.D.N.Y. Sept. 10, 2024), U | SEC-LR |
| 2024-09-19 | | SEC v. PHILIP MARKIN (S.D.N.Y. Sept. 19, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-09-16 | | SEC v. Federico Nannini, No. 26108 (S.D.N.Y. Sept. 13, 2024), U | SEC-LR |
| 2024-09-16 | | SEC v. FEDERICO NANNINI, No. 084542 (S.D.N.Y. Sept. 16, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-09-10 | | SEC v. Dishant Gupta, No. 26103 (S.D.N.Y. Sept. 10, 2024), U | SEC-LR |
| 2024-09-10 | | SEC v. DISHANT GUPTA (S.D.N.Y. Sept. 10, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-08-30 | | In re Benjamin Bin Chow, No. 6109 (S.D.N.Y. Aug. 30, 2024), defs:body | SEC-LR |
| 2024-08-30 | | Sec. & Exch. Comm’n v. Yin, 1:17-cv-00972-JPO (S.D.N.Y.) | SEC-LR |
| 2024-08-30 | | Final Judgment As To Defendant Shaohua Yin | SEC-LR |
| 2024-08-30 | | Securities and Exchange Commission v. Shaohua (Michael) Yin, et al., No. 1:17-cv-00972-JPO (S.D.N.Y. Aug. 16, 2024), final judgment imposed a $39.5 million penalty against Yin for insider trading in Lattice Semiconductor and DreamWorks Animation stock through nominee accounts | SEC-LR |
| 2024-08-13 | | SEC v. Robert Del Prete., No. 26073 (S.D.N.Y. Sept. 18, 2023), U | SEC-LR |
| 2024-08-08 | | SEC v. Steven D. Targum et al., No. 26070 (S.D.N.Y. Aug. 8, 2024), U | SEC-LR |
| 2024-08-08 | | SEC v. STEVEN D. TARGUM, No. 24-CV- (S.D.N.Y. Aug. 8, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-07-30 | | (“Baugh” or “Defendant”) in the securities of ADT, Inc. (“ADT”), a publicly traded company | SEC-LR |
| 2024-07-30 | | SEC v. Charles Baugh, No. 26062 (S.D.N.Y. Jul. 30, 2024), U | SEC-LR |
| 2024-07-29 | | SEC v. Sivannarayana Barama, No. 213031 (S.D.N.Y. Jul. 29, 2024), MONIQUE C | SEC-LR |
| 2024-07-29 | | SEC v. Sivannarayana Barama, No. 26060 (S.D.N.Y. Dec. 17, 2019), U | SEC-LR |
| 2024-07-29 | | SEC v. JANARDHAN NELLORE, No. 216114 (S.D.N.Y. Jul. 29, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-07-29 | | SEC v. SIVANNARAYANA BARAMA, No. 19-cv-08207-RS (S.D.N.Y. Jul. 29, 2024), Judgment, llm-upgrade | SEC-LR |
| 2024-07-08 | | In this action by the United States Securities and Exchange Commission ("SEC or | SEC-LR |
| 2024-07-08 | | SEC v. Gene Daniel Levoff, No. 26045 (S.D.N.Y. Feb. 13, 2019), U | SEC-LR |
| 2024-06-13 | | SEC v. Bhardwaj et al., No. 26027 (S.D.N.Y. Jun. 13, 2024), defs:body | SEC-LR |
| 2024-06-06 | | SEC v. Jordan Qsar, No. 26017 (S.D.N.Y. Mar. 26, 2024), U | SEC-LR |
| 2024-06-04 | | SEC v. Andre Wong, No. 26016 (S.D.N.Y. Jun. 4, 2024), U | SEC-LR |
| 2024-06-04 | | SEC v. ANDRE WONG (S.D.N.Y. Jun. 4, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-06-03 | | SEC v. ANDREAS BECHTOLSHEIM, No. 213031 (S.D.N.Y. Jun. 3, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-06-03 | | SEC v. Andreas Bechtolsheim, No. 26014 (S.D.N.Y. Mar. 26, 2024), U | SEC-LR |
| 2024-05-31 | | SEC v. Tyler Loudon, No. 26013 (S.D.N.Y. May 31, 2024), U | SEC-LR |
| 2024-05-20 | | Former Insider At TIAA-CREF Sentenced To 70 Months In Prison For Involvement In Multimillion-Dollar Insider Trading Ring | DOJ-SDNY |
| 2024-05-10 | | SEC Charges Pennsylvania Resident with Insider Trading in Dick’s Sporting Goods Securities | SEC-PR |
| 2024-05-10 | | SEC v. Civil Action No. 2:24-cv-700 | SEC-LR |
| 2024-05-10 | | SEC v. Frank T. Poerio, No. 26002 (S.D.N.Y. May 10, 2024), U | SEC-LR |
| 2024-05-09 | | United States v. Garelick, No. 23-cr-587 (S.D.N.Y. May 9, 2024), convicted of insider trading by using non-public information about Digital World Acquisition Corporation’s planned acquisition of Trump Media & Technology Group to trade and tip others | DOJ-SDNY |
| 2024-04-30 | | SEC v. Sanjay Bhandari et al., No. 25989 (S.D.N.Y. Apr. 30, 2024), U | SEC-LR |
| 2024-04-30 | | SEC v. SANJAY BHANDARI, No. 24-cv- (S.D.N.Y. Apr. 30, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-04-26 | | SEC v. KEVIN CROTTY, No. 24007946 (S.D.N.Y. Apr. 26, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-04-26 | | SEC v. Kevin Crotty, No. 25985 (S.D.N.Y. Apr. 26, 2024), U | SEC-LR |
| 2024-04-15 | | SEC v. Kevin A. Van de Grift and Gil Friedman, No. 25976 (S.D.N.Y. Feb. 22, 2023), U | SEC-LR |
| 2024-04-08 | | SEC v. Matthew Panuwat, No. 25970 (S.D.N.Y. Aug. 17, 2021), U | SEC-LR |
| 2024-04-03 | | United States v. Stiles et al., (S.D.N.Y. Apr. 3, 2024), the defendants pleaded guilty to securities fraud for insider trading Kodak stock based on misappropriated information about a potential government loan. | DOJ-SDNY |
| 2024-04-03 | | Two Individuals Plead Guilty To Participating In Insider Trading Scheme Based On SPAC Merger With Trump Media & Technology Group | DOJ-SDNY |
| 2024-03-26 | | SEC Charges Former Arista Networks Chairman Andy Bechtolsheim with Insider Trading | SEC-PR |
| 2024-03-26 | | SEC v. Qsar et al., No. 3:24‑cv‑00570 (S.D. Cal. Mar. 26, 2024), the SEC alleged that the defendants engaged in insider trading of Del Taco options using material nonpublic information. | SEC-LR |
| 2024-03-26 | | SEC v. Andreas Bechtolsheim, No. 25955 (S.D.N.Y. Mar. 26, 2024), U | SEC-LR |
| 2024-03-26 | | SEC v. ANDREAS BECHTOLSHEIM, No. 213031 (S.D.N.Y. Mar. 26, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-03-26 | | SEC v. Jordan Qsar, No. 25956 (S.D.N.Y. Mar. 26, 2024), U | SEC-LR |
| 2024-03-13 | | Former FBI Agent Trainee Sentenced To 15 Months In Prison For Insider Trading Scheme | DOJ-SDNY |
| 2024-03-12 | | SEC v. ROY N. COOK, No. 2:24-cv-313 (S.D.N.Y. Mar. 12, 2024), Information, llm-upgrade | SEC-LR |
| 2024-03-12 | | SEC Charges Tallgrass Energy’s Former Board Member Roy Cook and Four Others with Insider Trading in Advance of Blackstone Acquisition | SEC-PR |
| 2024-03-12 | | SEC v. Roy M. Cook, No. 25948 (S.D.N.Y. Mar. 1, 2024), U | SEC-LR |
| 2024-03-11 | | SEC v. Ishan Wahi et al., No. 25947 (S.D.N.Y. Mar. 11, 2024), U | SEC-LR |
| 2024-03-04 | | SEC Charges Ken Peterman, Former Comtech CEO, with Insider Trading in Advance of Negative Earnings Announcement | SEC-PR |
| 2024-03-04 | | SEC v. KEN PETERMAN (S.D.N.Y. Mar. 4, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-03-04 | | SEC v. KEN PETERMAN | SEC-PR |
| 2024-03-04 | | SEC v. Ken Peterman, No. 26197 (E.D.N.Y. Dec. 18, 2024), U | SEC-LR |
| 2024-02-26 | | United States v. O'Connor, No. 23 Cr. 456 (S.D.N.Y. Feb. 26, 2024), pleaded guilty to conspiracy to commit securities fraud and securities fraud for trading on material, non-public information provided by his employer, Joseph Lewis | DOJ-SDNY |
| 2024-02-06 | | SEC v. Auerbach et al., No. 25938 (E.D.N.Y. Feb. 6, 2024), defs:body | SEC-LR |
| 2024-01-24 | | United States v. Lewis, S.D.N.Y. (Jan. 24, 2024), Joseph Lewis pleaded guilty to securities fraud and insider trading, and Broad Bay Ltd. pleaded guilty and agreed to pay $50 million in penalties. | DOJ-SDNY |
| 2024-01-23 | | United States v. Cronin et al., S.D.N.Y. (Jan. 23, 2024), Shawn Cronin and Paul Feldman each pleaded guilty to securities fraud for an insider‑trading scheme surrounding Alexion Pharmaceuticals’ acquisition of Portola Pharmaceuticals. | DOJ-SDNY |
| 2024-01-18 | | United States v. Dagar, No. 23 Cr. 789 (S.D.N.Y. Jan. 18, 2024), convicted at trial of securities fraud and conspiracy to commit securities fraud for using confidential information about Pfizer’s positive Paxlovid trial results to profit from options trading | DOJ-SDNY |
| 2024-01-12 | | USA v. PAWANPASSI, Information, defs:body | DOJ-SDNY |
| 2024-01-12 | | In re Morgan Stanley & Co. LLC | SEC-PR |
| 2024-01-12 | | In re Pawan Kumar Passi | SEC-PR |