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Securities and Exchange Commission v. Klein et al
Case Number:
1:22-cv-06426
Court:
Nature of Suit:
Judge:
Firms
Government Agencies
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April 18, 2023
Investors Settle Out Of SEC Insider Trading Suit, Fines TBD
The family members of a scientific adviser accused of passing along insider trading tips have agreed to resolve the claims they faced in the same U.S. Securities and Exchange Commission enforcement action.
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July 29, 2022
SEC Says Pharma Adviser Passed Insider Tips To His Family
A scientific adviser to Colorado-based Ampio Pharmaceuticals Inc. has agreed to settle U.S. Securities and Exchange Commission claims that he passed along insider tips that allowed his brother and another family member to dodge hundreds of thousands of dollars of investment losses when his company's stock tanked.