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Insider Trading

September 09, 2024 Morgan Stanley Fined $2 Million Over Improper First Republic Trades
August 24, 2020 FINRA Bars Terminated Brokers Lau, Winters, for Failing to Provide Information
June 13, 2015 SEC Charges Chad Wiegand, Akis Eracleous with Insider Training, Duo Agrees to Securities Ban
October 21, 2014 Jonathan Kohanof Barred for False Testimony in Insider Trading Investigation
October 16, 2014 SEC Charges Former Wells Fargo Compliance Officer Judy K. Wolf with Altering Documents
September 23, 2014 SEC Fines Wells Fargo Advisors $5 Million for Inadequate Controls to Prevent Broker's Insider Trading
October 15, 2013 SEC: Small Violations Can Lead to Strong Enforcement, Sanctions, and Fines
June 03, 2013 SAC Capital Stops Cooperating with Government Investigation as DOJ Ramps Up Probe, Investors Flee