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SECURITIES AND EXCHANGE COMMISSION v. MCGEE et al
Case Number:
2:12-cv-01296
Court:
Nature of Suit:
Other Statutes: Securities/Commodities
Judge:
Firms
Government Agencies
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April 29, 2015
SEC Reaches Deal With Ex-Ameriprise Adviser Ahead Of Trial
The U.S. Securities and Exchange Commission on Monday finalized separate deals with a former colleague of an Ameriprise Financial Services Inc. adviser convicted for insider trading, as well as his wife, just days before their trial over allegedly using confidential information to buy stock in an insurance company was set to begin.
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April 08, 2015
SEC Denied Judgment Against Alleged Receiver Of Inside Info
A Pennsylvania federal judge Wednesday ruled that a former Ameriprise Financial Services Inc. adviser — who has already been convicted of insider trading — was responsible for tipping a friend off to the impending acquisition of an insurance company, but he said the Securities and Exchange Commission's claims against the friend would be resolved at a trial.
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April 07, 2015
Judge Iffy On Fining Imprisoned Inside Trader From Ameriprise
A Pennsylvania federal judge said he was hesitant to further punish a former Ameriprise Financial Services Inc. adviser currently serving jail time for insider trading, at a hearing Tuesday on the U.S. Securities and Exchange Commission's enforcement action over trades in an insurance company.
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March 02, 2015
SEC Wants Ex-Ameriprise Advisers Dinged Over Insider Claims
The U.S. Securities and Exchange Commission asked a Pennsylvania federal judge Friday to punish a former Ameriprise Financial Services Inc. adviser — who has already been convicted for insider trading — along with a colleague for using confidential information to buy stock in an insurance company.