Gary B. Taffet's $402,739 Insider Trading Penalty
Former New Jersey political figure Gary B. Taffet settled SEC insider trading charges, paying $402,739 in disgorgement, interest, and civil penalties.
12 articles tagged with "Civil Penalty"
Former New Jersey political figure Gary B. Taffet settled SEC insider trading charges, paying $402,739 in disgorgement, interest, and civil penalties.
Claude W. Savage was involved in International Heritage, Inc.'s pyramid scheme that defrauded investors, resulting in a $1.4M penalty for securities violations.
Artur Khachatryan settled SEC charges for conducting a manipulative spoofing scheme in securities trading, paying $373,885 in disgorgement and penalties.
David Plate and Schottenfeld Group LLC settled SEC insider trading charges for $1.2 million, including disgorgement, interest, and civil penalties.
Leslie A. Arouh was ordered to pay a $110,000 civil penalty by the SEC for violating antifraud provisions in connection with an adjusted trading scheme involving corporate bonds.
Neil Dolinsky, former Zomax officer, faced SEC insider trading charges resulting in a $2 million penalty. The case involved financial reporting fraud.
Patrick H. McCarthy III paid $100,000 in civil penalties for antifraud violations of federal securities laws and obstruction of SEC proceedings.
Michael Lauer was ordered to pay over $62 million in disgorgement plus a $500,000 civil penalty for securities fraud and disclosure fraud violations.
Lewis Allen Rivlin was found liable for securities fraud involving a fraudulent high-yield bank debenture trading program and ordered to pay over $6.5 million.
Douglas A. Parigian was involved in an insider trading scheme with amateur golfers targeting American Superconductor Corporation, settling for $51,460.
George H. Holley and Robert J. Hahn-Baiyor paid $312,440 in penalties for insider trading related to Nipro Corporation's acquisition of Home Diagnostics, Inc.
Edgar B. Alacan is subject to SEC enforcement action in U.S. District Court for the District of New Jersey to collect a $110,000 civil penalty for securities violations.