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Securities and Exchange Commission v. Han et al
Case Number:
1:15-cv-09260
Court:
Nature of Suit:
Judge:
Government Agencies
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March 16, 2016
SEC Settles Insider Trading Case Of Ex-Goldman Staffer
A former Goldman Sachs staffer accused of insider trading by the U.S. Securities and Exchange Commission has agreed to give up more than $460,000 in allegedly ill-gotten profits as part of a settlement with the securities regulator, according to documents filed in New York federal court Wednesday.
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December 21, 2015
SEC, Ex-Goldman Staffer Look To Settle Insider Trading Row
The U.S. Securities and Exchange Commission on Monday said it has reached a tentative deal with a former Goldman Sachs compliance staffer who helped develop anti-insider trading software for the bank, only to to be accused of insider trading himself.
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November 25, 2015
Ex-Goldman Compliance Aide Accused Of Insider Trading
A former Goldman Sachs compliance staffer who helped the bank develop software to spot insider trading has been accused of the illegal act himself, with the U.S. Securities and Exchange Commission saying he stole confidential information about deals Goldman was working on and then traded on it.