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Former Trader Fined For Fraud In PIPE Deal

Law360 (January 30, 2007, 12:00 AM EST) -- A former executive of investment firm SG Cowen & Co. LLC has agreed to pay the U.S. Securities and Exchange Commission $150,000 to settle insider-trading and fraud charges relating to a series of private investment in public equity (PIPE) transactions.

Guillame Pollet, a former managing director at SG Cowen will pay the civil penalty in addition to being enjoined from committing any future violations of the Securities Exchange Acts of 1933 and 1934 and barred from any future association with a broker or dealer.

The SEC...
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