Criminal and Civil Insider Trading

August 2017

• Insider Trading Conviction Affirmed (Martoma):
  • [TOP TEN]“Mathew Martoma’s insider trading conviction is upheld” (NYT, 8/23/17)
  • [TOP TEN]“U.S. gets easier path to insider-trading convictions” (WSJ, 8/23/17)
• Insider Trading (Gupta):
  • [TOP TEN]“For Rajat Gupta, returning is a hard road” (NYT, 8/15/17)
• Insider Trading (Deerfield): “Deerfield resolves insider trading probe with SEC” (WSJ, 8/21/17)

July 2017

• Insider Trading (Deutsche Borse CEO):
  • [TOP TEN]“Prosecutor’s offer to drop probe eases pressure on Deutsche Börse chief” (FT, 7/20/17)

June 2017

• Madoff Whistleblower Award:
  • [TOP TEN]“Estates of Madoff sons reach Ponzi scheme settlement” (WSJ, 6/27/17)
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May 2017

• Cohen Comeback: [TOP TEN]“Steven Cohen’s hedge-fund comeback shoots for a record target: $20 billion” (WSJ, 5/30/17)
• Insider Trading Charges re Government Information Tipping:
  • [TOP TEN]“U.S. charges four with trading insider tips on health-care policy” (WSJ, 5/24/17)
  • [TOP TEN]“Insider-trading case ensnares hedge fund” (NYT, 5/24/17)
• Insider Trading Conviction (DeCinces): [TOP TEN]“Former Angels player Doug DeCinces found guilty of insider trading” (LAT, 5/12/17)

April 2017

• Insider Trading and Preet Bharara: [TOP TEN]“Unfinished Preet Bharara business” (WSJ, 4/19/17)
• Insider Trading Conviction (Walters): [TOP TEN]“William T. Walters, famed sports bettor, is guilty in insider trading case” (NYT, 4/7/17)

March 2017

• Insider Trading (Oppenheimer Investment Adviser): [TOP TEN]“Stockbroker is sentenced to six months’ imprisonment for insider trading” (NYT, 3/15/17)
• Insider Trading Trial (Walters):
  • [TOP TEN]“Investor Carl Icahn dragged into gambler’s insider trading trial” (NYT, 3/27/17)
  • [TOP TEN]“In stark terms, ex-chairman of Dean Foods describes passing along tips” (NYT, 3/21/17)
  • [TOP TEN]“With Phil Mickelson on witness list, gambler’s insider trading trial begins” (NYT, 3/15/17)

February 2017

• Insider Trading Case Against Chinese Executive (Lin): [TOP TEN]“SEC charges Chinese investor with insider trading in Comcast-DreamWorks Animation deal” (LAT, 2/10/17)
• Insider Trading Case Against SAC Capital and Steve Cohen: [TOP TEN]“Outwitting the FBI and the SEC” (WSJ, 2/9/17)
• Insider Trading (Deutsche Borse CEO):
  •  [TOP TEN]“Deutsche Börse chief says insider trading claim ‘unfounded’” (FT, 2/16/17)
  • [TOP TEN]“Deutsche Börse CEO probed over share purchase ahead of LSE talks” (FT, 2/1/17)

January 2017

• Insider Trading and Government Officials:
  • “Tom Price’s trading days” (WSJ, 1/18/17)

December 2016

• $1 billion Hedge Fund Ponzi Scheme (Platinum Partners):
  • “Platinum Partners fraud case has investigators casting wide net” (WSJ, 12/22/16)
  • [TOP TEN]“Authorities allege $1 billion fraud at Platinum Partners” (WSJ, 12/19/16)
  • [TOP TEN]“Platinum executives charged in $1bn investment fraud” (FT, 12/19/16)
  • [TOP TEN]“Platinum hedge fund executives charged with $1 billion fraud” (NYT, 12/19/16)
• Chinese Traders Accused of Hacking Law Firms:
  • [TOP TEN]“3 men made millions by hacking merger lawyers, U.S. says” (NYT, 12/27/16)
  • [TOP TEN]“U.S. charges three Chinese traders with hacking law firms” (WSJ, 12/27/16)
• Insider Sales: “Absent from Trump rally in stocks? Insider buying” (WSJ, 12/1/16)
• Insider Trading (Las Vegas Sports Bettor Walters): [TOP TEN]“F.B.I. agent’s news leaks may doom federal cast against William Walters” (NYT, 12/21/16)
• New Insider Trading Danger: “Outsider Trading”: [TOP TEN]“US law firms rush to improve defences after Chinese hack” (FT, 12/28/16)

• US Supreme Court Decision on Insider Trading (Salman):
  • [TOP TEN]“Supreme Court hardens stance on insider trading” (WSJ, 12/7/16)
  • [TOP TEN]“Supreme Court sides with prosecutors in insider trading case” (NYT, 12/6/16)
  • “Supreme Court affirms broad reach of insider-trading laws” (LAT, 12/6/16)
  • [TOP TEN]“US Supreme Court rules for prosecutors in insider trading case” (FT, 12/6/16)
• “Wine Ponzi Scheme”: “Man who cheated customers out of $45 million with his ‘wine Ponzi scheme’ is sentenced to 6½ years in prison” (LAT, 12/15/16)

November 2016

• Insider Trading (BlackRock):
  • [TOP TEN]“Former BlackRock fund manager pleads guilty to insider trading” (NYT, 11/2/16)
  • [TOP TEN]“Former BlackRock manager pleads guilty to insider trading” (FT, 11/2/16)
  • “Ex-BlackRock fund manager Mark Lyttleton pleads guilty to insider trading” (WSJ, 11/2/16)
• NY US Attorney Bharara: “Preet Bharara says he will stay on as U.S. Attorney under Trump” (NYT, 11/30/16)

October 2016

• SAC Capital Insider Trading Case (Cohen):
  • [TOP TEN]“Steven Cohen may return to hedge fund industry when ban expires” (NYT, 10/19/16)
• US Supreme Court Decision on Insider Trading (Salman):
  •  “The Supreme Court revisits insider trading” (NYT, 10/6/16)
  • [TOP TEN]“What is a ‘personal benefit’ from insider trading? Justices hear argument” (NYT, 10/5/16)
  • [TOP TEN]“Supreme Court appears hesitant to curtail insider trading prosecutions” (LAT, 10/5/16)
  • [TOP TEN]“Supreme Court appears skeptical of radically altering insider-trading rules” (WSJ, 10/5/16)
  • [TOP TEN]“Supreme Court tackles insider trading law” (FT, 10/4/16)

September 2016

• Insider Trading (BlackRock):
  •  [TOP TEN]“FCA charges ex-BlackRock fund manager with insider trading” (FT, 9/29/16)
• Insider Trading (Omega Advisors, Cooperman):
  • [TOP TEN]“SEC’s pursuit of Leon Cooperman rattles hedge fund industry” (FT, 9/22/16)
  • [TOP TEN]“Leon Cooperman, a billionaire charged with insider trading, prepares to fight” (NYT, 9/21/16)
  • [TOP TEN]“SEC accuses Leon Cooperman of insider trading” (WSJ, 9/21/16)
  • [TOP TEN]“SEC charges Leon Cooperman with insider trading” (FT, 9/21/16)
• Insider Trading Probe (Hanjin Shipping Chairwoman): [TOP TEN]“Hanjin ex-chair accused of insider trading” (FT, 9/22/16)
• Ponzi Schemes: “Years after falling victim to a Ponzi scheme, Simi Valley retiree wins $15.6-million judgment” (LAT, 9/1/16)

August 2016

• Insider Trading and Government Officials:
  •  “The pipeline and the short seller” (WSJ, 8/16/16)
• Insider Trading Conviction (Stewart):
  • [TOP TEN]“Son’s tips to dad lead to conviction” (WSJ, 8/18/16)
  • [TOP TEN]“Former Perella Weinberg banker convicted of insider trading” (FT, 8/17/16)
• Insider Trading Investigation (Law Firm Partner): [TOP TEN]“Lawyer, adviser charged with insider trading” (WSJ, 8/10/16)
• Madoff Whistleblower Award:
  •  [TOP TEN]“Whistleblowers are poised to collect $100 million” (WSJ, 8/9/16)

June 2016

• Insider Trading and Government Officials:
  •  “Visium to sell and liquidate funds after insider trading charges” (NYT, 6/17/16)
  • [TOP TEN]“Visium hedge fund managers charged with insider trading” (NYT, 6/15/16)
  • [TOP TEN]“Visium insider-trading case ensnares former FDA official” (WSJ, 6/15/16)
• Insider Trading Guilty Plea (Davis): [TOP TEN]“How keeping up appearances ruined a former Dallas banker” (NYT, 6/9/16)
• Insider Trading Suicide: [TOP TEN]“Hedge fund manager charged with insider trading is found dead” (NYT, 6/21/16)
• Phil Mickelson Insider Trading Settlement:
  • “Phil Mickelson and the SEC’s legal bogey” (WSJ, 6/16/16)

May 2016

• Deutsche Bank Broker Sentenced to 4.5 Year Jail Term for Insider Trading: [TOP TEN]“Former Deutsche Bank broker sentenced to 4.5 years for insider trading” (FT, 5/12/16)
• FCA Insider Trading Trials: [TOP TEN]“Insider trading case highlights the challenges facing prosecutors” (FT, 5/10/16)
• Insider Trading (Barclays director): “Ex-Barclays banker charged with passing inside information to plumber” (WSJ, 5/31/16)

• Phil Mickelson Insider Trading Settlement:
  •  [TOP TEN]“Golfer Phil Mickelson’s gambling entanglements put legacy on line” (WSJ, 5/25/16)
  • [TOP TEN]“In the clear, Phil Mickelson can thank an insider trading rule” (NYT, 5/20/16)
  • [TOP TEN]“Phil Mickelson caught up in insider trading case” (FT, 5/19/16)
• Preet Bharara and Insider Trading Prosecution: [TOP TEN]“What is Preet Bharara afraid of?” (WSJ, 5/9/16)
• SAC Capital Insider Trading Case (Cohen):
  •  [TOP TEN]“Steven Cohen seeks redemption in Milken’s model” (FT, 5/6/16)

April 2016

• Insider Trading Investigation (Visium): [TOP TEN]“Insider trading is focus of probe into Visium” (WSJ, 4/8/16)
• Swedish Insider Trading Investigation: “Prosecutors drop insider trading probe into former Swedbank CEO” (WSJ, 4/20/16)

March 2016

• Insider Trading:
  • [TOP TEN]“Hackers breach law firms, including Cravath and Weil Gotshal” (WSJ, 3/29/16)
  • [TOP TEN]“Accountability for Preet Bharara” (WSJ, 3/10/16)
  • [TOP TEN]“Judge allows lawsuit over hedge-fund raid to proceed” (WSJ, 3/10/16)
• Insider Trading (Deutsche Bank banker): “Ex-Deutsche Bank broker admits misleading watchdog” (FT, 3/3/16)
• Insider Trading Investigation: “Husband of former Areva chief faces insider trading probe” (FT, 3/30/16)
• Insider Trading and “Rogue Traders”: [TOP TEN]“Palantir and Credit Suisse join forces to target rogue traders” (FT, 3/22/16)

February 2016

• $7.6 Billion Ezubao Ponzi Scheme:
  • “Chinese investors seek protection of rights over Ponzi claims” (FT, 2/3/16)
  • “Chinese police need diggers to unearth ‘ponzi scheme’ that took alleged $7.6bn” (FT, 2/2/16)
  • “Online finance company took $7.6 billion in ponzi scheme, China says” (NYT, 2/2/16)

January 2016

• BritishInsider Trading Trial:[TOP TEN]“Insider trading defendants made up to $7.4m” (FT, 1/15/16)
• SAC Capital Insider Trading Case (Cohen):
  •  [TOP TEN]“In insider trading settlement, Steven Cohen will be free to manage outside money in 2 years” (NYT, 1/9/16)
  • “Deal ends SEC’s pursuit of Cohen” (WSJ, 1/9/16)
• US Supreme Court Decision on Insider Trading (Salman):
  •  [TOP TEN]“Justices take on a muddled issue: insider trading” (NYT, 1/29/16)
  • [TOP TEN]“Supreme Court will hear a California insider trading case” (NYT, 1/20/16)

December 2015

• Criminal Securities Fraud Investigation of Martin Shkreli:
  • [TOP TEN]“For Martin Shkreli and others, ‘No comment’ is not in the script” (NYT, 12/23/15)
  • “The good, the bad, and the Shkreli” (WSJ, 12/23/15)
  • “Martin Shkreli removed as KaloBios CEO” (WSJ, 12/22/15)
  • [TOP TEN]“Martin Shkreli: whizz-kid brought down by ‘Ponzi scheme’” (FT, 12/19/15)
  • “Chief of Turing Pharmaceuticals resigns after arrest” (NYT, 12/19/15)
• Insider Trading Key Informant Sentenced:
  • [TOP TEN]“FBI’s Wall St informant sentenced to 21 days” (FT, 12/3/15)
  • “Prison term for witness in insider crackdown” (NYT, 12/3/15)
• Madoff Ponzi Scheme Criminal Trial:
  • “Former fund manager cleared” (FT, 12/12/15)
  • “Fund manager ‘ignored concrete alerts’ on Madoff fraud” (FT, 12/9/15)
  • “Fund manager to face trial over alleged role in Madoff Ponzi scheme” (FT, 12/7/15)
• SAC Capital Insider Trading Case (Cohen):[TOP TEN]“SEC to retrench case against SAC’s Steven A. Cohen” (WSJ, 12/22/15)

November 2015

• “Kamikaze Squad” Insider Trading Investigation:
  • “China’s ‘Limit-up Kamikazes’ thrived in wild west stock market” (FT, 11/5/15)
  • “Chinese billionaire is arrested in inquiry” (NYT, 11/3/15)
  • “China detains ‘Kamikaze Squad’ billionaire in insider-trading investigation“(FT, 11/3/15)
• SAC Capital Insider Trading Case (Cohen):“A cooperating witness in the SAC Capital case is to be sentenced” (NYT, 11/26/15)
• TPG Capital Trader: “SEC accuses pair in insider case“(WSJ, 11/12/15)

October 2015

• Insider Trading Appeals:[TOP TEN]“Justices let insider trade ruling stand” (NYT, 10/6/15)
• Insider Trading Conviction and Dismissal (Steinberg):“U.S. Prosecutor to drop insider trader cases against seven” (NYT, 10/23/15)
• US Supreme Court and Insider Trading:
  • [TOP TEN]“US Attorney aims to dismiss insider trading charges in SAC Capital Advisors case” (WSJ, 10/23/15)
  • [TOP TEN]“US prosecutor to drop insider trading case against seven” (NYT, 10/23/15)
  • [TOP TEN]“Top court rebuffs U.S. on insider ruling“ (WSJ, 10/6/15)

September 2015

•  Cyber Hacking Insider Trading Scheme:
  • [TOP TEN]“Ukrainian firm, CEO to pay $30 million to settle SEC charges” (WSJ, 9/15/15)
  • [TOP TEN]“$30 million settlement in insider trading ring linked to hacking” (NYT, 9/15/14)
• Insider Trading Appeals:[TOP TEN]“Judge proves ally to government on insider-trading ruling” (WSJ, 9/22/15)
• Insider Trading Guilty Plea (Eydelman): “Stockbroker pleads guilty in insider trading case” (NYT, 9/17/15)
• Insider Trading Investigation (Towers CEO): “Towers Watson CEO sold stock before big deal” (WSJ, 9/24/15)

August 2015

• Cyber Hacking Insider Trading Scheme:
  • [TOP TEN]“Hackers tapped bonanza of data for traders, US says” (WSJ, 8/12/15)
  • “Nine charged in insider trading case tied to hackers” (NYT, 8/12/15)
  • “Arrests target insider trading scheme” (LAT, 8/12/15)
• Insider Trading Convictions (Rajaratnam, Gupta): [TOP TEN]“Onetime allies Rajaratnam and Gupta have uneasy prison reunion after insider trading trials” (NYT, 8/3/15)
• Insider Trading Investigation (Korchevsky): “Judge grants steep bail to ex-money manager accused in trading case” (NYT, 8/27/15)
• USSC Review of 2nd Circuit Insider Trading Decision (Chiasson, Newman): “Tipping friends without benefits” (LA Daily Journal, 8/10/15)

July 2015

• USSC Review of 2nd Circuit Insider Trading Decision (Chiasson, Newman):
  • [TOP TEN]“Solicitor General asks Supreme Court to review insider trading ruling” (NYT, 7/31/15)
  • “Obama administration asks Supreme Court to review insider trading ruling” (WSJ, 7/31/15)

May 2015

• Insider Trading Investigation of Perella Weinberg Banker (Stewart): “Perella Weinberg banker charged in insider case” (WSJ, 5/15/15)
• SEC Insider Trading Investigations:“SEC announces insider trading charges linked to China tech deal” (WSJ, 5/1/15)

April 2015

• Insider Trading 2nd Circuit Appeal (Chiasson, Newman):
  • [TOP TEN]“Court rejects request to reconsider insider trading ruling‘ (NYT, 4/17/15)
  • “Information is not a crime” (WSJ, 4/13/15)
  • “Another perfect defeat” (WSJ, 4/6/15)
  • [TOP TEN]“Court decision foils insider trading cases” (WSJ, 4/4/15)
  • [TOP TEN]“Court rejects request to reconsider insider trading ruling” (NYT, 4/4/15)
• Insider Trading Investigation (SAC): “Steven Cohen’s firm names advisory board” (WSJ, 4/8/15)
• Insider Trading Reform: “Instead of attacking insider trading, make everyone an insider” (WSJ, 4/7/15)
• Insider Trading Investigation of Ackman of Possible Manipulation of Herbalife Stock: [TOP TEN] “China event looms in Herbalife probe” (WSJ, 4/2/15)
• SEC Insider Trading Investigations:“Foe of insider trading at FBI joins SEC” (NYT, 4/17/15)

 

March 2015

• French Insider Trading Trial Blocked (Airbus):
  • “French court blocks insider trading trial of Airbus figures” (NYT, 3/19/15)
  • “Airbus insider trading trial blocked” (FT, 3/19/15)
• Insider Trading Bill: “Connecticut lawmaker takes aim at insider trading” (WSJ, 3/26/15)
• Insider Trading Investigation (Moore Capital):
  • “Julian Rifat is missing part of puzzle for FCA” (FT, 3/20/15)
  • “US poised to charge high-profile figure after Julian Rifat deal” (FT, 3/20/15)
• Insider Trading and Prosecutorial Discretion: “Preet Bharara’s methods” (WSJ, 3/30/15)
• Insider Trading Sentences (Australian Traders): “Two sentenced in Australian insider-trading case” (WSJ, 3/18/15)
• Possible Insider Trading Investigation (Omega Advisors): “Cooperman’s Omega Advisors receives subpoenas” (NYT, 3/27/15)

February 2015

• Insider Trading Guilty Plea (Zwerko): “Former Merck analyst pleads guilty to insider trading charges” (WSJ, 2/21/15)
• Insider Trading Trials: “Mark Cuban lobs jab at insider trials” (WSJ, 2/20/15)
• SAC Insider Trading Investigation: [TOP TEN]“Government helper gets no jail time” (WSJ, 2/6/15)

January 2015

• Insider Trading Appeal:
  • [TOP TEN]“Insider charges are being dropped” (WSJ, 1/30/15)
  • [TOP TEN]“Federal prosecutors challenge insider trading ruling” (NYT, 1/24/15)
  • [TOP TEN]“Insider defendants retract guilty pleas” (WSJ, 1/23/15)
• SAC Insider Trading Investigation (Cohen): “Profit at Point72, Cohen’s new firm, outshines many a hedge fund’s” (NYT, 1/6/15)

December 2014

• Civil Insider Trading Case Involving Herbalife (Szymik, Peixoto):
  • “SEC to drop case of insider trading in Herbalife stock” (LAT, 12/16/14)
  • “Charges dropped after insider ruling” (WSJ, 12/16/14)
• Insider Trading Appeal:
  • “When insider trading is legal” (NYT, 12/24/14)
  • “Insider trading ruling will curtail regulatory authority” (LA Daily Journal, 12/16/14)
  • “Fallout for the SEC and the Justice Dept. from the insider trading ruling” (NYT, 12/15/14)
  • “An insider-trading watershed” (WSJ, 12/12/14)
  • “Some accused of insider trading may rethink their guilty pleas” (NYT, 12/12/14)
  • “Appeals court deals setback to crackdown on insider trading” (NYT, 12/11/14)
  • [TOP TEN]“Court overturns insider-trading convictions, a blow to Justice Department” (WSJ, 12/11/14)
  • “What an appeals court insider trading decision does, and doesn’t, do” (NYT, 12/11/14)
  • “FBI raid was blamed for the demise of two hedge funds” (NYT, 12/11/14)
• Insider Trading Law:
  • [TOP TEN]“Delving into morass of insider trading” (NYT, 12/20/14)
  • “Insider-trade law should get rethink” (WSJ, 12/16/14)
• Insider Trading Lawsuit (Allergan): “Allergan investors seek billions in new insider trading suit” (LA Daily Journal, 12/19/14)
• Insider Trading Trial (Mazzo, DeCinces, Murray): “Santa Ana insider trading case could see a big shift in focus” (LA Daily Journal, 12/15/14)
• SAC Insider Trading Investigation (Cohen): “Cohen seeks law experts for fund” (NYT, 12/16/14)

November 2014

• Brazil Insider Trading Trial re Petroleum Stock (Batista):
  • “Trial of Eike Batista begins in Brazil for insider trading” (NYT, 11/18/14)
  • “Insider trading case in Brazil to test a much-maligned justice system” (NYT, 11/17/14)
• French Insider Trading Investigation (BNP):
  • “BNP officials drawn into insider trading probe” (FT, 11/20/14)
  • “BNP Paribas faces possible insider trading probe” (FT, 11/18/14)
• Insider Trading and USSC: “Scalia’s insider-trading invitation” (WSJ, 11/11/14)
• Insider Trading Conviction of Whitman Capital Founder: Supreme Court denies insider-trading appeal” (WSJ, 11/11/14)

October 2014

• Civil Insider Trading Case Involving Herbalife (Szymik, Peixoto):
  • “Two charged with insider trading on Herbalife” (WSJ, 10/1/14)
  • “Insider case by SEC is a step removed” (NYT, 10/1/14)
• Insider Trading of Federal Government Healthcare Information:  [TOP TEN]“Insider probe focuses on Medicare agency” (WSJ, 10/29/14)
• Insider Trading Lawsuit (Allergan): “Allergan investors seek billions in new insider trading suit” (LA Daily Journal, 12/19/14)
• Galleon Insider Trading Investigation: [TOP TEN] “Varied paths in life after Galleon but few led to success” (NYT, 10/17/14)
• Rajaratnam $840,000 Settlemment with SEC of Insider Trading: “Raj Rajaratnam’s Brother Agrees to Settle Civil Insider-Trading Charges” (WSJ, 10/24/14)
• SAC Insider Trading Investigation (Cohen): :
  • “After federal case, Cohen’s new firm is posting enviable gains on investments” (NTY, 10/17/14)
• SEC Accounting Inquiries and Insider Sales: “An open window for insider sales” (NYT, 10/5/14)

September 2014

• Insider Trading of Federal Government Healthcare Information:
  • [TOP TEN]“Hedge funds scrutinized in Washington insider probe” (WSJ, 9/11/14)
• Insider Trading Plea (Tamayo): “Napkin-eating middleman in law firm insider trading case pleads guilty” (WSJ, 9/22/14)
• SAC Insider Trading Investigation (Cohen): :
  • “Several Veteran Traders Exit Point72 Asset Management” (WSJ, 9/19/14)
• SAC Insider Trading Trial (Martoma):
  • [TOP TEN]“Martoma, SAC Capital ex-trader, gets 9 years in prison” (NYT, 9/9/14)
  • [TOP TEN]“Martoma sentenced to nine years in insider-trading case“(WSJ, 9/9/14)
  • [TOP TEN]“Martoma sentenced to nine years in insider-trading case” (WSJ, 9/8/14)
  • [TOP TEN]“Insider Martoma’s sentencing highlights white collar crime debate” (WSJ, 9/8/14)
• SEC Insider Trading Investigation of Top Executives:
  • “SEC targets timing of insiders’ trade notices” (WSJ, 9/11/14)
  • “Punishments for insider trading are growing stiffer” (NYT, 9/10/14)

August 2014

• SAC Insider Trading Investigation (Cohen):
  • “Cohen’s firm loses another top officer” (WSJ, 8/19/14)
  • “Departures mount in executive ranks of Cohen’s family office” (NYT, 8/19/14)

July 2014

• Insider Trading Investigation re Government Health Care Leak: “SEC probe eyes firms” (WSJ, 7/18/14)
• Insider Trading Law: [TOP TEN]“The limits of the law in insider trading” (NYT, 7/19/14)
• Insider Trading Trial of Raj Rajaratnam’s Brother (Rengan Rajaratnam):
  • [TOP TEN]“Tension between prosecutors, judge flared in insider-trading trial” (WSJ, 7/15/14)
  • “Rajaratnam’s brother’s win ends insider trial victories” (FT, 7/12/14)
  • [TOP TEN]“Prosecutors had concerns about case US later lost” (WSJ, 7/10/14)
  • [TOP TEN]“Defense lawyer ends Preet Bharara’s streak in insider trading cases” (NYT, 7/10/14)
  • [TOP TEN]“A winning streak on insider cases ends” (NYT, 7/9/14)
  • [TOP TEN]“The next step for Rengan Rajaratnam” (NYT, 7/9/14)
  • [TOP TEN]“Acquittal deals US a rare court defeat” (WSJ, 7/9/14)
  • “Insider case nears jury deliberations” (WSJ, 7/8/14)
  • “Insider trading charges against Rajaratnam dismissed” (WSJ, 7/2/14)

June 2014

• Insider Trading Investigation of Dean Foods and Clorox (Ichan, Mickelson, Walters): 
  • “Dean Foods receives a subpoena into an investigation into Mickelson’s trades” (NYT, 6/24/14)
  • “Golfer’s role in trading said to be overstated” (NYT, 6/12/14)
  • [TOP TEN]“Probe could snarl a deal for Icahn” (WSJ, 6/4/14)
  • “Taste for risk fueled career of better in trading probe” (WSJ, 6/3/14)
  • [TOP TEN] “Authorities find Insider Trading case tied to Phil Mickelson is slow to take shape” (NYT, 6/2/14)
  • [TOP TEN] “Stock probe eyes Icahn, gambler, top golfer” (WSJ, 6/1/14)
  • [TOP TEN] “Trade probe hits nag as surveillance is derailed” (WSJ,6/2/14)
  • [TOP TEN] “For Icahn, an inquiry could taint a legacy” (NYT,6/2/14)
• Insider Trading Trial of Raj Rajaratnam’s Brother (Rengan Rajaratnam):
  • [TOP TEN] “Trial turns to Brothers’ ties” (WSJ, 6/19/14)
  • “Raj Rajaratnam loses insider trading appeal” (LAT, 6/18/14)
• Insider Trading Trial of Fund Manager (Obus / Wynnfield Capital):“Refusing to buckle to SEC intimidation” (WSJ, 6/25/14)
• Insider Trading Investigation of Congress and Health Care Leak: 
  • “House hypocrisy on insider trading” (NYT, 6/28/14)
  • “US House sought immunity for aide” (WSJ, 6/24/14)
  • “Insider-Trade Probe eyes call with aide” (WSJ, 6/23/14)
  • “Congressional panel subpoenaed in Insider Trading inquiry” (NYT, 6/20/14)
  • “Lobbyists play down connections amid probe” (WSJ, 6/20/14)
  • [TOP TEN] “House staff under scrutiny as trading probe heats up” (WSJ, 6/19/14)
• KPMG Insider Trading Case (London, Shaw):
  • “Prison bound KPMG ex-Partner remorseful for Insider tips” (WSJ, 6/26/14)
  • [TOP TEN] “Informant in KPMG Insider Trading case sentenced to 5 months in prison” (LAT, 6/2/14)
• “Pervasive” Insider Trading (NYT Report): [TOP TEN] “A study asserts a gallery of rogues” (NYT, 6/17/14)
• Repo Market:  “Wall Street should fear the Repo” (WSJ, 6/23/14)
• Shadow Banking:  “Fears mount over growth in shadow banking” (FT, 6/24/14)
• SAC $602 million Insider Trading Settlement:  “SAC pact gets approval” (WSJ, 6/19/14)
• SAC Insider Trading Trial (Martoma): [TOP TEN]“Prosecutors seek more than eight years in prison for Martoma” (WSJ, 6/28/14)

May 2014

• Britain’s Insider Trading Prosecutors:  “Britain foils its own fight against crime” (WSJ, 5/9/14)
• Brazilian Billionaire Insider Trading Trial:  “Brazilian mogul starts to fight insider trading claims” (NYT, 5/16/14)
• High Frequency Trading and Insider Trading Investigation: “Maverick trade venue in cash talks” (WSJ, 5/24/14)
• Insider Trading Appeal of Hedge Fund Managers (Chiasson, Newman):[TOP TEN] “Spotlight hits tough Judge’s rulings” (WSJ, 5/1/14)
• Insider Trading Appeal of JPMorgan Banker (Hannam): “Former top JPMorgan banker in Britain loses appeal in insider case” (NYT, 5/29/14)
• Insider Trading Investigation of Dean Foods and Clorox (Ichan, Mickelson, Walters):“Investor, bettor, golfer: inquiry into big names” (NYT, 5/31/14)
• Insider Trading Trial of Fund Manager (Obus / Wynnfield Capital):
  • [TOP TEN]“After fighting insider trading charges for 10 years, a fund manager is cleared” (NYT, 5/31/14)
  • “SEC loses insider-trading case” (WSJ, 5/31/14)
  • “12 years later, a fund manager gets to give his side” (NYT, 5/28/14)
• Rajaratnam’s Brother’s Insider Trading Trial (Rengan Rajaratnam):“Prosecutors drop two fraud charges against Rengan Rajaratnam” (WSJ, 5/3/14)
• Regulation FD and Activist Investors: “As information flows, SEC faces difficulty bottling it up” (NYT, 5/28/14)
• SEC Insider Trading Case Against San Bernardino doctors:  “2 Doctors settle insider trading case” (LAT, 5/19/14)
• SAC Insider Trading Investigation (Cohen):
  • “Stiff jail time in SAC sought” (WSJ, 5/13/14)
  • “US asks stiff term for Ex-SAC trader” (NYT, 5/13/14)
  • “After SAC, seeking big backer” (WSJ, 5/1/14)
• SAC Capital Insider Trading Trial (Martoma):
  • [TOP TEN]“Martoma could face nearly 20 years in prison, court officials say” (WSJ, 5/29/14)
  • “Former trader at SAC Capital seeks a lenient sentence for insider trading” (NYT, 5/29/14)
• SAC Insider Trading Trial (Steinberg):
  • [TOP TEN]“Ex-trader at SAC fund is sentenced to three years” (NYT, 5/17/14)
  • [TOP TEN]“SAC ex-manager gets prison” (WSJ, 5/17/14)

April 2014

• Ex-Goldman Director (Gupta) Insider Trading Trial and Conviction: [TOP TEN] “Gupta to surrender to prison on June 17” (NYT, 4/18/14)
• Ex-Evercore Group Senior deal makes Insider Trading plea (Hixon):  “Deal maker pleads guilty to insider trades” (WSJ, 4/3/14)
• High Frequency Trading and Insider Trading Investigation:
  • [TOP TEN] “White says SEC is ‘quite focused” on high-speed trading” (WSJ, 4/30/14)
  • “SEC Chief heads to the hill” (WSJ, 4/29/14)
  • “Gone in 0.001 seconds” (NYT, 4/20/14)
  • “Three expensive milliseconds” (NYT, 4/14/14)
  • “How to slow flash boys” (Barons, 4/14/14)
  • “Sacrificing sense for speed in markets” (NYT, 4/11/14)
  • “We’re all high frequency traders now” (WSJ, 4/11/14)
  • “Hobbling Wall Street cowboys” (NYT, 4/1/14)
  • [TOP TEN] “The Wolf Hunters of Wall Street” (NYT  Magazine, 3/31/14)
  • “Book fuels more calls for a tax on trading” (NYT, 4/8/14)
  • “High frequency trading falls in the cracks of criminal law” (NYT, 4/8/14)
  • “Link between HFT and ETFs has ingredients of a pot boiler” (FT, 4/5/14)
  • “The case for high-information trading” (WSJ, 4/7/14)
  • “Speedy trade flaps trade fallout hits brokers” (WSJ, 4/7/14)
  • “Insider trading 2.0?” (Barons, 4/7/14)
  • “No one sees the big picture” (Barons, 4/7/14)
  • “FBI probes high-frequency trading firms for abuse of information” (LAT, 4/5/14)
  • “Michael Lewis’s crusade” (NYT, 4/5/14)
  • “Morgan Stanley hits back over high-frequency trading claims” (FT, 4/4/14)
  • “Flash Boys for the people” (NYT, 4/4/14)
  • “High-speed politics” (WSJ, 4/3/14)
  • “Fast traders fight over secret code” (WSJ, 4/3/14)
  • “For Virtu IPO, Book prompts a delay” (WSJ, 4/3/14)
  • “A high-speed retreat keeps Goldman out of trouble” (FT, 4/3/14)
  • [TOP TEN]“FBI investigates high-speed traders” (WSJ, 4/1/14)
  • “Book review: ‘Flash Boys’ by Michael Lewis” (WSJ, 4/1/14)
  • “Speedy trader tries PR offensive” (WSJ, 4/1/14)
  • “Fault goes deep in ultra fast trades” (NYT, 4/1/14)
  • “High-frequency trading book riles tempers on CNBC” (NYT, 4/1/14)
• Insider Trading Appeal of Hedge Fund Managers (Chiasson, Newman):
  • [TOP TEN] “Loosening the rules on insider trading” (NYT, 4/25/14)
  • [TOP TEN]“Insider cases’ legal basis questioned” (WSJ, 4/23/14)
  • [TOP TEN]“Appeal judges hint at doubts in insider case” (NYT, 4/23/14)
  • “Insider trading cases are set to be revisited” (NYT, 4/21/14)
  • [TOP TEN]“Court case may help define ‘insider trading’” (WSJ, 4/21/14)
  • “Fund managers seek reversal on insider trading” (FT, 4/21/14)
• Insider Trading Charges Against Brazilian Tycoon (Batista): “Regulators accuse Batista of insider trading” (FT, 4/14/14)
• Insider Trading Prosecutions: [TOP TEN] “Busting insider trading: As pointless as prohibition” (WSJ, 4/29/14)
• Insider Trading and Sensitive Government Disclosure of Market Information:  “Sensitive market data leaked after government phone call” (WSJ, 4/11/14)
• Insider Trading Settlement (Nvidia Trader): 
  • “Ex-Nvidia manager settles with SEC” (LAT, 4/24/14)
  • “Insider Trading Settlement” (NYT, 4/24/14)
• KPMG Insider Trading Case (London, Shaw):
  • [TOP TEN] “Former KPMG partner gets prison for insider trading” (LAT, 4/25/14)
  • [TOP TEN] “Prison time for KPMG Ex-Partner” (WSJ, 4/25/14)
  • [TOP TEN]“Prison sought for ex-KPMG auditor” (LAT, 4/9/14)
• Rajaratnam’s Brother’s Insider Trading Trial (Rengan Rajaratnam):
  • “Charges upheld in another Galleon trading case” (NYT, 4/19/14)
• SAC $1.8 Billion Criminal Plea:
  • “Silver lining” (NYT, 4/17/14)
  • [TOP TEN] “Judge accepts SAC guilty plea” (FT, 4/11/14)
  • [TOP TEN] “Judge approves SAC plea closing its painful chapter” (NYT, 4/11/14)
  • [TOP TEN] “As Judge OKs SAC plea, pursuit of Cohen appears to cool” (WSJ, 4/11/14)
• SAC Insider Trading Investigation (Cohen):
  • “Scandal-scarred SAC confronts its future” (WSJ, 4/9/14)
  • “Choice to oversee Cohen fund has link to it” (NYT, 4/9/14)
  • “Low-key changes” (NYT, 4/8/14)
  • “SAC Capital fades away as judge considers its plea” (NYT, 4/7/14)
  • “New compliance monitor” (WSJ, 4/4/14)
  • “Overseer of compensation at SAC is selected” (NYT, 4/4/14)
  • “To curtail departures SAC pursues 2-year pacts” (NYT, 4/2/14)
  • “Drug company seeks to be repaid legal fees in SAC Capital inquiry” (NYT, 4/1/14)
• SEC Insider Trading Settlement with BP Crisis Manager (Selihan): “Ex-BP worker traded on Deepwater Horizon data” (USA Today, 4/18/14)

March 2014

• Ex-Goldman Director (Gupta) Insider Trading Trial and Conviction: [TOP TEN]“Federal court rejects Gupta’s appeal for new trial” (NYT, 3/26/14)
• High Frequency Trading and Insider Trading Investigation: “‘Flash Boys’ starts Wall St.  soul searching” (FT 3/29/14)
• Rajaratnam’s Brother’s Insider Trading Trial (Rengan Rajaratnam): “Rajaratnam’s brother awaits appellate ruling” (WSJ, 3/28/14)
• SAC Insider Trading– SEC Complaint Against 10th Employee (Dennis): 
  • “SEC unveils case against 10th former employee of SAC Capital” (NYT, 3/14/14)
  • [TOP TEN] “Insider dragnet snares another” (WSJ, 3/14/14)
• SAC Insider Trading Investigation (Cohen):
  • “Key exit at SAC as firm morphs” (WSJ, 3/21/14)
  • “Two SAC Capital traders jump to Highbridge Capital” (NYT, 3/18/14)
  • “SAC seeks a new start as ‘Point72’” (WSJ, 3/12/14)
  • “After scandal, a new name for SAC: Point72” (NYT, 3/12/14)
  • “SAC’s payouts signal a transition” (WSJ, 3/5/14)
• Simpson, Thatcher & Bartlett Staff Insider Trading Ring: 
  • [TOP TEN] “Insider-trading case highlights law firms risks” (WSJ, 3/21/14)
  • [TOP TEN] “US alleges inside traders used spycraft, ate evidence” (WSJ, 3/20/14)
• Tax Deductabilty of Insider Trading Payments: [TOP TEN] “Deducting settlements” (NYT, 3/25/14)

February 2014

• Criminalizing Insider Trading:  “Do not criminalize traders just for being in the know” (FT, 2/5/14)
• Insider Trading Profits in SEC Cases: [TOP TEN]“Court backs SEC on insider liability” (WSJ, 2/19/14)
• Insider Trading Profits and Criminal Forfeiture:  [TOP TEN] “Paying the price for insider trading profits” (NYT, 2/24/14)
• Insider Trading Arrest of Evercore Executive (Hixon):  [TOP TEN] “Banker used tips to trade, officials say” (WSJ, 2/23/14)
• SAC Insider Trading Investigation (Cohen):
  • “A hedge fund manager says SAC taint is manageable” (NYT, 2/26/14)
  • “A family office for the super rich, and lessons for the less wealthy” (NYT, 2/15/14)
  • “SAC Capital’s top compliance officer will resign” (NYT, 2/15/14)
  • TOP TEN] “It’s Hard to Chase a Shadow” (NYT, 2/9/14)
• SAC Capital Insider Trading Trial (Martoma):
  • [TOP TEN] “Martoma found guilty on all insider trading charges” (FT, 2/7/14)
  • [TOP TEN] “Past fictions, lack of trust and no deal” (NYT, 2/7/14)
  • [TOP TEN] “Ex-SAC Trader convicted of securities fraud” (NYT, 2/7/14)
  • [TOP TEN] “Ex-SAC trader found guilty” (WSJ, 2/7/14)
  • “Jury reviews testimony as deliberations continue in trial tied to SAC” (WSJ, 2/6/14)
  • “Due diligence and the Martoma ‘conundrum’” (WSJ, 2/5/14)
  • [TOP TEN]“Closing arguments in Martoma trial” (NYT, 2/4/14)
  • [TOP TEN]“Prosecutors tell jury to convict Martoma, as insider trading trial nears an end” (WSJ, 2/4/14)

January 2014

• International Insider-Trading Investigations in 2013: “Red alert over record year for insider dealing” (FT, 1/6/14)
• SAC Capital Insider Trading Trial (Martoma):
  • “Witness: SAC placed veil on trades” (WSJ, 1/29/14)
  • [TOP TEN]“Key witness says leader of SAC was FBI target” (NYT, 1/24/14)
  • [TOP TEN]“Details slip by insider trial’s main witness” (NYT, 1/23/14)
  • “Defense questions ‘leak’ to SAC” (WSJ, 1/23/14)
  • “Key witness in Martoma trial says he lied to FBI” (NYT, 1/22/14)
  • “Martoma witness defends credibility” (WSJ, 1/22/14)
  • “Doctor tells of leaking data to a ‘friend’ at SAC” (NYT, 1/18/14)
  • “Doctor says he leaked data to SAC ex-trader Martoma” (WSJ, 1/18/14)
  • “Martoma was trained in rules” (WSJ, 1/17/14)
  • “Witness: Martoma knew too much” (WSJ, 1/16/14)
  • “Ex-SAC trader’s drug data a surprise, doctor testifies” (NYT, 1/16/14)
  • [TOP TEN] “A Doctor describes alleged SAC tips” (WSJ, 1/15/14)
  • “Transcript Conundrum” (NYT, 1/15/14)
  • [TOP TEN] “Testifying in SAC case, Doctor admits sharing data” (NYT, 1/15/14)
  • [TOP TEN]“SAC trader ‘corrupted’ doctors, prosecutor says” (NYT, 1/12/14)
  • “Insider trial could hinge on doctor” (WSJ, 1/12/14)
  • “Harvard expelled Martoma in 1999” (WSJ, 1/10/14)
  • [TOP TEN]“Ex-SAC trader was expelled from Harvard Law School” (NYT, 1/10/14)
  • “Jury won’t see Cohen deposition at SAC trial” (WSJ, 1/9/14)
  • “SAC and Cohen in focus as a trial begins” (WSJ, 1/8/14)
  • [TOP TEN]“Broad strokes vs. pinpoint in Martoma trial” (NYT, 1/7/14)
  • “A win before trial for ex-SAC staffer in evidence rulings” (WSJ, 1/7/14)
  • [TOP TEN]“Trial to begin for Martoma, Ex-SAC trader who cut no deal” (NYT, 1/7/13)
  • “SAC trader’s co-workers were deposed” (NYT, 1/7/14)
• SAC Capital Insider Trading Trial (Steinberg):
  • “SAC counsel testifies at insider trading trial in unexpected move by the defense” (NYT, 1/29/14)
  • “SAC exits outrunning its rivals” (WSJ, 1/2/14)

December 2013

• Insider Trading and High-Tech Snooping: “Traders seek and edge with high-tech snooping” (WSJ, 12/19/13)
• Insider Trading Trial (Daimler, Lagardere):
  • “Daimler, Lagardere face trial” (WSJ, 12/3/13)
  • “Airbus insider trading trial confirmed” (FT, 12/3/13)
• Microsoft Senior Portfolio Manager Insider Trading Allegations: “Ex-Microsoft employee, partner accused of insider trading” (WSJ, 12/20/13)
• SAC Capital Indictment and Plea: “More SAC employees depart as firm shifts focus” (NYT, 12/19/13)
• SAC Insider Trading Investigation (Cohen): “Cohen said to have warned friend about possible federal investigation” (NYT, 12/24/13)
• SAC Capital Insider Trading Trial (Steinberg):
  • “In 2013, rebounds, traders, and rights” (NYT, 12/28/13)
  • “Ex-SAC portfolio manager convicted” (FT, 12/21/13)
  • [TOP TEN]“Crucial turnabout by SAC case juror” (WSJ, 12/20/13)
  • [TOP TEN]“Jury-room demonstration persuaded holdouts in ex-trader’s trial” (NYT, 12/20/13)
  • [TOP TEN]“Jury votes to convict SAC manager” (WSJ, 12/19/13)
  • [TOP TEN]“Ex-trader at SAC is convicted of insider trading” (NYT, 12/19/13)
  • “Government rests case against ex-SAC trader” (NYT, 12/14/13)
  • “Steinberg case in hands of jury” (FT, 12/16/13)
  • “SAC rethinks relationships, and its name” (WSJ, 12/13/13)
  • “Attention shifts to SAC chief at insider trial” (WSJ, 12/11/13)
  • “Ex-Trader at SAC seeks testimony Cohen gave” (NYT, 12/9/13)
  • “SAC witness concedes omission on illicit data” (NYT, 12/6/13)
  • “Top witness in SAC case can’t recall some points” (NYT, 12/5/13)
  • “Testimony sheds light on SAC’s trading” (WSJ, 12/5/13)
  • “Witness recounts pressure from trader for more data” (NYT, 12/3/13)
  • “Trader’s Defense Lawyer challenges the recollections of a crucial witness” (NYT, 12/4/13)
  • [TOP TEN] “Government witness is pressed on whether he misread lingo” (WSJ, 12/4/13)

November 2013

• Financial Crisis Bank Settlements: [TOP TEN] “Breakdown of big banks’ bargaining” (WSJ, 11/4/13)
• Insider Trading and Political Intelligence: [TOP TEN]“Probe of how U.S. agency’s Medicare move reached investors hits wall” (WSJ, 11/21/13)
• Insider Trading Probe re SEC Staff: “SEC staff probed on personal holdings” (WSJ, 11/12/13)
• Novatel Wireless CEO Stock Sales (Weinert): “Executives hit stock-sales sweet spot” (WSJ, 11/14/13)
• SAC Capital Indictment and Plea:
  • “SAC executive to resign amid shift” (WSJ, 11/22/13)
  • “SAC London staff in job talks with rivals” (WSJ, 11/13/13)
  • “Determining the victims of insider trading” (NYT, 11/11/13)
  • “In SAC case, judge won’t decide on settlement until as late as March” (WSJ, 11/9/13)
  • [TOP TEN]“Hedge fund pleads guilty, then judge calls a timeout” (NYT, 11/9/13)
  • “SAC’s $1.2 billion settlement clears one judicial hurdle and awaits another” (NYT,11/7/13)
  • “SAC to pay biggest insider fine of $1.8 billion” (FT, 11/5/13)
  • “It’s only money” (WSJ, 11/5/13)
  • “SAC agrees to plead guilty to insider trading” (LAT, 11/5/13)
  • [TOP TEN]“SAC will plead guilty to insider trading” (WSJ, 11/5/13)
  • [TOP TEN]“SAC Capital agrees to plead guilty to insider trading” (NYT, 11/5/13)
  • [TOP TEN]“SAC: A textbook case of corporate prosecution” (NYT, 11/5/13)
  • [TOP TEN]“After a decade, SAC Capital blinks” (NYT, 11/5/13)
  • “SAC, US to unveil record insider pact” (WSJ, 11/4/13)
  • [TOP TEN] “SAC is near insider trading indictment” (WSJ, 11/4/13)
  • “SAC to pay fraud fines of $1bn” (FT, 11/4/13)

October 2013

• French Trader Insider Trading: “French trader is fined record €14 million” (FT, 10/25/13)
• Insider Trading and Agency Data Releases: “Agencies rethink access to data” (WSJ, 10/11/13)
• Insider Trading Indictment (Scammell Disney Deal): “Man indicted on securities fraud in Disney deal” (LAT, 10/10/13)
• KPMG Insider Trading Probe (Shaw, London): “Three-year prison term recommended for former KPMG auditor” (LAT, 10/24/13)
• SAC Capital Indictment and Plea:
  • “Under fire, Hedge-fund Billionaire to sell choice art” (NYT, 10/31/13)
  • [TOP TEN]“SAC to plead guilty to securities fraud” (WSJ, 10/30/13)
  • “SAC will close its office in London” (WSJ, 10/23/13)
  • “SAC Capital retrenches as inquiry takes a toll” (NYT, 10/23/13)
  • [TOP TEN] “Record Penalty in works for SAC” (WSJ, 10/18/13)
  • [TOP TEN] “SAC deal could end its advisory business” (NYT, 10/18/13)
  • “Legal bills rising, Cohen is said to plan art sales” (NYT, 10/14/13)
  • [TOP TEN] “SAC is said to weigh plea deal to end case” (NYT, 10/9/13)
  • “SAC given ultimatum over $1.8bn settlement” (FT, 10/9/13)
  • “Three portfolio managers leave SAC in London” (NYT, 10/3/13)

September 2013

• Chinese Insider Trading Investigation: “Insider trading probe snares money manager” (WSJ, 9/4/13)
• Insider Trading Settlement (Robbins): “Filmmaker is charged with insider trading” (WSJ, 9/24/13)
• SAC Capital Indictment and Plea:
  • [TOP TEN]“Prosecutors pursue big SAC settlement” (WSJ, 9/25/13)
  • [TOP TEN]“SAC is said to negotiate settlement of charges” (NYT, 9/25/13)
• New Indictment in SAC Capital/Martoma Case:
  • [TOP TEN]“Attorney seeks delay in Martoma insider-trading case” (WSJ, 9/23/13)
  • “Doctor added to SAC probe’s roster” (WSJ, 9/6/13)
  • “Prominent doctor said to be tied to SAC case” (NYT, 9/6/13)

August 2013

• Insider Trading Investigation of Senate Staff: [TOP TEN]“Insider probe caught in knot” (WSJ, 8/5/13)
• Insider Trading Criminal Case (Hegedus and Laurenti): “Insider case highlights ties among friends” (WSJ, 8/12/13)
• Insider Trading Investigation (Need to Know News): “Exchange’s mews service for traders draws scrutiny of investigators” (WSJ, 8/12/13)
• SAC Capital Indictment:
  • “An SAC loyalist weighs the cost” (WSJ, 8/17/13)
  • “As investors jump ship, SAC looks to cut back” (NYT, 8/17/13)
  • “SAC closes a trade unit as it starts to retrench” (NYT, 8/13/13)
  • “SAC braces for investor exit” (WSJ, 8/11/13)
  • [TOP TEN] “Facing loss of Capital, SAC talks of layoffs” (NYT, 8/10/13)
  • “SAC is bracing for investor exit” (WSJ, 8/11/13)
  • “SAC business plan goes to judge” (WSJ, 8/9/13)
  • “Hiring of a Fired Trader offers a glimpse into SAC’s practices” (NYT, 8/2/13)
• New Indictment in SAC Capital/Martoma Case:
  • “New claims in US case against SAC ex-trader” (NYT, 8/23/13)
  • [TOP TEN]“US expands case against former SAC trader” (WSJ, 8/23/13)

July 2013

• 10b5-1 Plans and Insider Trading:[TOP TEN]“Firms set curbs on trading” (WSJ, 7/29/13)
• Government “Spies” and Insider Trading: “Spy team is Wall Street regulators’ weapon against insider traders” (LAT, 7/31/13)
• India and Insider Trading: “India steps up insider trading fight” (FT, 7/19/13)
• Insider Trading Pre-Bankruptcy: [TOP TEN] “Insiders shift from ‘buy’ to ‘sell’ as bankruptcy nears” (WSJ, 7/11/13)
• Insider Trading Probes:
  • “A stretch for the long arm of the law” (FT, 7/8/13)
  • “The ins and outs of insider trading” (FT, 7/8/13)
• KPMG Insider Trading Probe (Shaw, London):
  • “Guilty plea in KPMG case” (WSJ, 7/2/13)
  • [TOP TEN]“Scott London pleads guilty to insider trading at KPMG” (LAT, 7/2/13)
  • “Former KPMG partner pleads guilty in insider trading case” (NYT, 7/2/13)
• SAC Capital Indictment:
  • “Making a Wall St. crime criminal” (LAT, 7/31/13)
  • “Keeping SAC alive is in banks’ best interest” (WSJ, 7/30/13)
  • [TOP TEN]“US to negotiate SAC operating plan” (WSJ, 7/29/13)
  • [TOP TEN]“Wall Street braces itself for SAC fallout” (FT, 7/27/13)
  • [TOP TEN]“At SAC, rules compliance with an ‘edge’” (NYT, 7/27/13)
  • [TOP TEN]“Key flip pushed SAC case forward” (WSJ, 7/27/13)
  • “Crocodile tears to be shed over SAC’s Stevie” (FT, 7/26/13)
  • “Prosecutors bring criminal charges against SAC Capital” (FT, 7/26/13)
  • “Q&A: SAC faces future as a ‘family office‘” (FT, 7/26/13)
  • [TOP TEN]“Decade-long quest ends at SAC front door” (FT, 7/26/13)
  • [TOP TEN]“Fund indicted, called magnet for cheating” (NYT, 7/26/13)
  • “Walking line for fairness” (WSJ, 7/26/13)
  • “US indicts hedge fund SAC Capital” (NYT, 7/26/13)
  • [TOP TEN] “A relentless prosecutors crowning case” (NYT, 7/26/13)
  • [TOP TEN] “SAC case threatens Wall Street cash cow” (NYT, 7/26/13)
  • “The troubling SAC case” (WSJ, 7/26/13)
  • “US Attorney Bharara seeks another notch on his belt” (WSJ, 7/26/13)
  • “Former trader helped the US” (WSJ, 7/26/13)
  • “Funds employees face uncertainty” (WSJ, 7/26/13)
  • “SAC hit with criminal case” (WSJ, 7/26/13)
  • “SAC in the dock” (FT, 7/25/13)
  • [TOP TEN]“For SAC, indictment may imperil its survival” (NYT, 7/25/13)
  • [TOP TEN]“In case against hedge fund, a show of force” (NYT, 7/25/13)
  • “Shift in strategy at SAC, and suspicions followed” (WSJ, 7/25/13)
• SAC Capital Investigation (Aggarwal):
  • “Internet analyst charged in SAC case” (FT, 7/31/13)
  • “US charges analyst in SAC case” (WSJ, 7/31/13)
  • “Ex-stock analyst charged with insider trading in case tied to SAC Capital indictment” (NYT, 7/31/13)
• SAC Capital (Martoma / Cohen / Steinberg):
  • [TOP TEN]“US readies criminal charges against SAC Capital” (WSJ, 7/24/13)
  • [TOP TEN]“Criminal indictment is expected for SAC” (NYT, 7/24/13)
  • “Document trail of a hedge fund investigation” (NYT)
  • “SAC hits back over complaint by SEC” (FT, 7/24/13)
  • [TOP TEN]“SAC: Cohen didn’t read key email” (WSJ, 7/23/13)
  • [TOP TEN]“A towering fine for naught, as the SEC tracks Cohen” (NYT, 7/23/13)
  • “SEC chooses little used statute to pursue Steven Cohen” (FT, 7/22/13)
  • [TOP TEN]“Case reveals Cohen’s links to dubious actions at SAC” (NYT, 7/22/13)
  • [TOP TEN]“The SAC saga: What happens next?” (WSJ, 7/22/13)
  • “Cohen charged over insider trading” (FT, 7/20/13)
  • [TOP TEN]“SEC seeking to ban Cohen” (WSJ, 7/20/13)
  • “Wall St. star is SEC target” (LAT, 7/20/13)
  • [TOP TEN]“SEC charges are latest test for billionaire” (NYT, 7/20/13)
  • [TOP TEN]“SEC strikes at Tourre defense as ex-colleague testifies” (WSJ, 7/19/13)
  • “SAC takes a loss on health firm” (WSJ, 7/12/13)
  • “SAC figure: media may bias jurors” (WSJ, 7/10/13)
  • [TOP TEN] “Many paths remain for a case against SAC” (NYT, 7/8/13)
  • [TOP TEN] “Cohen probe is missing pieces” (WSJ, 7/8/13)
  • [TOP TEN] “SAC Chief likely to avoid charges” (WSJ, 7/5/13)
• Wiretaps and Insider Trading Investigations: [TOP TEN]“Another win for insider wiretaps” (WSJ, 7/2/13)
• Yahoo Share Buyback: Greenmail or Insider Trading: “Yahoo’s share buyback is legal, but timing is suspect” (NYT, 7/24/13)

June 2013

• 10b5-1 Plans and Insider Trading:“Timing of stock sales aids Lululemon insider” (WSJ, 6/13/13)
• Congress Insider Trading Probe (Sen. Charles Grassley’s Aide): [TOP TEN]“Insider probe hits congress” (WSJ, 6/11/13)
• Gupta Criminal Trial: [TOP TEN]“Venture, and friendship, sour after insider conviction” (NYT, 6/28/13)
• Hedge Funds and Insider Trading: [TOP TEN]“A tale of Wall St. excess” (NYT, 6/4/13)
• Hedge Fund Trader Sentenced (Chiasson, Newman):“Bail granted to ex-fund managers convicted of insider trading” (WSJ, 6/19/13)
• Insider Trading Arrests: “Regulators swoop on more insider dealing” (FT, 6/3/13)
• Insider Trading Plea Appeal: “Ex-Bristol executive pleads guilty to insider trading” (WSJ, 6/11/13)
• Insider Trading Trials (Rajaratnam, Gupta) (Book Review of The Billionaire’s Apprentice):
  • “Compelling story of a poster boy’s spectacular crash” (FT, 6/27/13)
  • [TOP TEN]“Derivatives and wire traps” (WSJ, 6/17/13)
• Japan Insider Trading Laws: “Japan toughens its insider trade law” (WSJ, 6/13/13)
• KPMG Insider Trading Probe (Shaw, London):
  • [TOP TEN]“An insider trader expresses regrets” (WSJ, 6/29/13)
  • “KPMG ex-pertner is arraigned” (WSJ, 6/18/13)
  • “KPMG: Safeguards ‘sound and effective’” (WSJ, 6/5/13)
• Rajaratnam Insider Trading Trial Appeal:
  • [TOP TEN]“Rajaratnam loses conviction appeal” (WSJ, 6/25/13)
  • “Court upholds Rajaratnam conviction” (NYT, 6/25/13)
• Rengan Rajaratnam Insider Trading: “Rengan Rajaratnam in plea talks” (WSJ, 6/4/13)
• Revolving Door Political Manipulation Business and Insider Trading:“Tax probe in France targets UBS unit” (WSJ, 6/53/13)
• Rungruangnavarat, Smithfield Insider Trading Investigation:
  • “Smithfield trades spur SEC action” (WSJ, 6/7/13)
  • “SEC freezes assets of Thai trader in Smithfield inquiry” (NYT, 6/7/13)
  • “SEC charges Bangkok trader with $3m fraud over Smithfield orders” (FT, 6/7/13)
• SAC Capital (Martoma / Cohen / Steinberg):
  • [TOP TEN]“Cohen opts not to testify in US case against SAC” (NYT, 6/29/13)
  • [TOP TEN]“SAC probers weighing ‘willful blindness’ tack” (WSJ, 6/26/13)
  • “Ex-SAC trader to get documents from cooperating witness laptop” (WSJ, 6/18/13)
  • “SAC insider trading probe nears deal to access laptop” (FT, 6/11/13)
  • “As investors bail out, SAC shows brave face” (NYT, 6/6/13)
  • “SAC flap liable to hit street” (WSJ, 6/5/13)
  • [TOP TEN]“An earlier hedge fund inquiry may have led to the SAC Capital case” (NYT, 6/4/13)
  • “Wall Street Transfixed by an SAC deadline” (NYT, 6/4/13)
  • [TOP TEN]“SAC sees investors pulling out $3.5 billion” (WSJ, 6/3/13)
  • [TOP TEN]“Hedge fund, under fire, braces for withdrawals” (NYT, 6/3/13)
  • “Investors circle for Cohen’s day of reckoning” (FT, 6/3/13)

May 2013

• Blogs and Insider Trading: “Anti-fraud focus shifts to blogs” (FT, 5/13/13)
• Chiasson Insider Trading:
  • [TOP TEN]“Ex-hedge fund manager sentenced in insider trading case” (NYT, 5/14/13)
  • [TOP TEN]“Long jail term for manager” (WSJ, 5/14/13)
  • “Level Global co-founder jailed for insider trading” (FT, 5/14/13)
• Congressional Confidential Information Insider Trading: “Senators show more caution in their personal finances” (WSJ, 5/23/13)
• Ex-BlackRock Manager (Lyttleton) Insider Trading Investigation:
  • “Ex-BlackRock manager said to be arrested” (NYT, 5/15/13)
  • “Ex-BlackRock star held in UK insider inquiry” (FT, 5/15/13)
• Ex-Goldman Director (Gupta) Insider Trading Trial:
  • “Gupta challenges US wiretaps in appeal” (WSJ, 5/22/13)
  • “Fallen Goldman director appeals for a new trial” (NYT, 5/22/13)
• Government Health Care Investigation and Insider Trading: [TOP TEN]“Health-policy move widely shared” (WSJ, 5/14/13)
• Hedge Fund Trader Sentenced (Chiasson, Newman):“Former hedge fund trader sentenced in Insider Case” (NYT, 5/3/13)
• KPMG Insider Trading Probe (Shaw, London):
  • [TOP TEN]“KPMG ex-partner to enter guilty plea” (WSJ, 5/29/13)
  • “Ex-KPMG partner to admit fraud” (NYT, 5/29/13)
  • “Former KPMG senior partner to plead guilty to securities fraud” (LAT, 5/29/13)
  • “PricewaterhouseCoopers is new auditor for Herbalife” (LAT, 5/22/13)
  • “Guilty plea in KPMG insider trading” (LAT, 5/21/13)
  • “Jeweler agrees to plead guilty in KPMG insider-trading case” (LAT, 5/7/13)
  • “Jeweler is charged in KPMG insider case” (NYT, 5/7/13)
• Lobbyist/Ex-Senate Aide Insider Trading Investigation: “Tip puts lobbyist’s career on hold” (WSJ, 5/21/13)
• SAC Capital (Martoma / Cohen / Steinberg):
  • “Blackstone weights bigger SAC withdrawal” (NYT, 5/30/13)
  • “SAC is hit with demand for fund withdrawal” (WSJ, 5/29/13)
  • [TOP TEN]“Four top SAC executives receive subpoenas in probe” (WSJ, 5/24/13)
  • “4 SAC executives subpoenaed in insider trading inquiry” (NYT, 5/24/13)
  • [TOP TEN]“Wall Street justice should be delivered in open court” (FT, 5/22/13)
  • [TOP TEN]“Prosecutors consider use of organized crime law against SAC” (WSJ, 5/22/13)
  • “SAC Capital aims to stem withdrawal requests” (NYT, 5/21/13)
  • [TOP TEN]“Criminal charges weighed for SAC” (WSJ, 5/20/13)
  • [TOP TEN]“Hedge fund owner gets subpoena to testify” (NYT, 5/20/13)
  • [TOP TEN]“The case for not cooperating with prosecutors” (NYT, 5/20/13)
  • “SAC to limit help in probe” (WSJ, 5/19/13)
  • “Hedge fund starts to balk over inquiry” (NYT, 5/19/13)
  • “SAC is said to extend a deadline for clients” (NYT, 5/10/13)
  • “SAC sets plan for scofflaws” (WSJ, 5/3/13)
  • “SAC says it will begin clawing back compensation in insider trading cases” (NYT, 5/3/13)

April 2013

• Accidental Early Release of Sensitive Government Information: 
  • [TOP TEN]“In accident, Fed gives data to banks” (NYT, 4/11/13)
  • “A probe on data releases is revived” (WSJ, 4/11/13)
• Expert Network Insider Trading Case (Jiau): “Ex-consultant challenges insider conviction” (WSJ, 4/11/13)
• Government leaks and Insider Trading: “Probes launched into leak of health-care policy shift” (WSJ, 4/5/13)
• Insider Trading and Congress: “How Congress puts itself above the law” (WSJ, 4/16/13)
• Insider Trading by Directors and 10b-5 plans: [TOP TEN] “Insider-Trading probe trains lens on boards” (WSJ, 4/30/13)
• KPMG Insider Trading Probe (Shaw, London):
  • “KPMG dismisses Herbalife insider trading scandal as ‘one-day wonder‘” (FT, 4/24/13)
  • “KPMG partner faces insider trading queries” (LA Daily Journal, 4/10/13)
  • [TOP TEN] “Defense in KPMG case adopts open approach” (LA Daily Journal, 4/15/13)
  • [TOP TEN] “US expanding limits of insider-trade probes”  (WSJ, 4/15/13)
  • [TOP TEN]“Golf pair who landed KPMG in the rough” (FT, 4/13/13)
  • “Search for motive in KPMG case” (WSJ, 4/13/13)
  • “KPMG tries to control the damage” (LAT, 4/13/13)
  • “Ex-KPMG partner given Rolex for tips” (FT, 4/12/13)
  • “Ex-KPMG partner is charged in insider case” (NYT, 4/12/12)
  • “Tips traded on a golf course led to the downfall of a top KPMG executive” (NYT, 4/11/13)
  • [TOP TEN]“Under scrutiny, auditors reconsider procedures” (NYT, 4/11/13)
  • “Insider trader is identified” (WSJ, 4/11/13)
  • “The name game‘ (FT, 4/11/13)
  • “Ex-KPMG partner was sting target” (LAT, 4/11/13)
  • “Looking for KPMG’s mystery man” (WSJ, 4/10/13)
  • “Herbalife is rocked by new crisis” (LAT, 4/10/13)
  • “Trading case embroils KPMG” (WSJ, 4/10/13)
  • “KPMG cancels audits over insider trading inquiry” (NYT, 4/10/13)
  • “Trading scandal’s insider speaks out” (LAT, 4/10/13)
  • “KPMG resigns as auditor for Herbalife” (FT, 4/10/13)
  • [TOP TEN] “Golf pal chats let to probes” (WSJ, 4/10/13)
  • [TOP TEN] “Trading case embroils KPMG” (WSJ, 4/10/13)
  • “KPMG fires a senior partner in an insider trading episode” (NYT, 4/9/13)
• Leaks of Mergers and Acquisitions (“The Friday Night Drop”): [TOP TEN] “Studying the dark art of leaking deal talks” (NYT, 4/30/13)
• SAC $602 Million Settlement:
  • “Judge approves $602 million SAC insider trading settlement” (LA Daily Journal. 4/17/13)
  • [TOP TEN]“SAC’s settlement cleared with caveat” (WSJ, 4/17/13)
  • “Judge conditionally backs SAC’s $602 million settlement” (FT, 4/17/13)
  • [TOP TEN]“Judge approves settlement in insider trading case, with reservation” (NYT, 4/17/13)
• SAC Capital (Martoma / Cohen / Steinberg):
  • “SAC eases on withdrawals” (WSJ, 4/28/13)
  • “A former manager at SAC changes defense lawyers” (NYT, 4/5/13)
  • [TOP TEN] “Climbing the ladder to Steven A. Cohen” (WSJ, 4/5/13)
  • “Lawsuit by ex-wife of SAC Capital founder is revived on appeal” (NYT, 4/4/13)
  • “New divorce fight for SAC’s Cohen” (WSJ, 4/4/13)
  • “Judge backs settlement of similar SAC case” (WSJ, 4/2/13)
• Revolving Door Political Manipulation Business and Insider Trading:[TOP TEN]“Stock’s surge is linked to lobbyist” (WSJ, 4/17/13)

March 2013

• Bank of America Insider Trading Investigations: “BofA times and options trade well” (WSJ, 3/7/13)
• CEO Stock Sales and 10b5-1 Plans: “Company insiders are dumping shares! Or are they?” (WSJ, 3/16/13)
• California Hedge Fund Analyst: “Fed’s insider-trading crackdown brings charges in California” (LAT, 3/27/13)
• Galleon (Goffer): “Ex-trader fights sentence” (WSJ, 3/12/13)
• Hedge Fund SAC Capital Advisers (Martoma/Patel/Cohen) :
  • “SAC to investors: Scrutiny not over” (WSJ, 3/19/13)
  • [TOP TEN] “What comes next for SAC” (NYT, 3/18/13)
  • “The standing of hedge funds hangs on ‘Portfolio Manager A’” (FT, 3/18/13)
  • “Divided views of SAC Capital fine” (NYT, 3/18/13)
  • [TOP TEN] “SAC hit with record insider penalty” (WSJ, 3/17/13)
  • [TOP TEN] “SAC pays $614m insider deal fine” (FT, 3/17/13)
  • [TOP TEN] “Big hedge fund pays $616 million in trading cases” (NYT, 3/16/13)
  • “Hedge funds settle charges” (LAT, 3/16/13)
  • “Martoma defense gets more time” (WSJ, 3/6/13)J
• Insider Trading Investigations of Heinz: “Heinz CEO’s golden exit deal” (WSJ, 3/5/13)
• SAC Capital (Martoma / Cohen / Steinberg):
  • “Returns keep prosecutors circling” (FT, 3/30/13)
  • “SAC veteran to face criminal charges” (FT, 3/30/13)
  • “Trading probe reaches higher” (WSJ, 3/30/13)
  • “FBI arrests senior trader at hedge fund” (NYT, 3/30/13)
  • [TOP TEN] “Judge is skeptical of deal that lets hedge fund avoid the question of guilt” (NYT, 3/29/13)
  • “SAC deal to settle charges on hold” (WSJ, 3/29/13)
  • “Hedge fund titan buys Hamptons property for $60 million” (NYT, 3/28/13)
  • [TOP TEN] “Inside a star hedge fund: Lots of big belts, built fast” (NYT, 3/22/13)
• Raj Rajaratnam Brother:
  • “Arraignment in insider case” (WSJ, 3/26/13)
  • “U.S. snares Rajaratnam’s brother” (WSJ, 3/22/13)
  • “Clock ticks for a Rajaratnam probe” (WSJ, 3/21/13)
• Whitman Capital: “Convicted fund manager settles SEC civil case” (WSJ, 3/21/13)

February 2013

• CEO Stock Sales and 10b5-1 Plans:
  • “Company insiders are dumping shares! Or are they?” (WSJ, 3/16/13)
  • [TOP TEN]“SEC expands probe on executive trades” (WSJ, 2/5/13)
• Galleon Sentencing:
  • “Key insider witness gets probation” (WSJ, 2/14/13)
  • “Ex-fund manager avoids jail time” (WSJ, 2/12/13)
  • “Galleon figure gets one year in prison” (NYT, 2/1/13)
• Gupta Trial, Sentencing, and Appeal:
  • “Gupta restitution to Goldman is set” (WSJ, 2/26/13)
  • “Ex-director of Goldman told to repay legal costs” (NYT, 2/26/13)
• Hedge Fund SAC Capital Advisers (Martoma/Patel/Cohen) :
  • [TOP TEN] “The dangling man: On the trail of SAC Capital’s Steve Cohen” (Bloomberg Business Week, 1/21/13)
  • “SAC clients said to seek $1.7 billion in refunds” (NYT, 2/16/13)
  • “Investors exit fund dogged by probe” (WSJ, 2/16/13)
  • “Blackstone to keep bulk of its stake in SAC fund” (NYT, 2/15/13)
  • “SAC moves to stem investor outflow” (WSJ, 2/15/13)
  • “Ex-analyst at SAC felt pressured for tips” (WSJ, 2/14/13)
  • “SAC Capital investors ready to show their cards” (FT, 2/14/13)
  • [TOP TEN] “New details suggest a defense in SAC case” (NYT, 2/4/13)
• Insider Trading Investigations of Heinz:
  • “Heinz case may involve a side bet in London” (NYT, 2/28/13)
  • “Scrutiny of Heinz trades intensifies” (WSJ, 2/28/13)
  • “Goldman client made Heinz trade” (WSJ, 2/22/13)

January 2013

• Berkshire Hathaway Executive (David Sokol):
  • “Ex-protege criticizes Buffet over exit” (WSJ, 1/5/13)
  • “SEC drops probe into ex-Buffet lieutenant” (FT, 1/5/13)
  • “SEC ends scrutiny of ex-aide to Buffet” (NYT, 1/4/13)
  • “Case ends for Buffet ex-aide” (WSJ, 1/4/13)
• Hedge Fund SAC Capital Advisers (Martoma/Patel/Cohen) :
  • [TOP TEN] “The dangling man: On the trail of SAC Capital’s Steve Cohen” (Bloomberg Business Week, 1/21/13)
  • “Beneath the calm SAC works to contain the fallout from an inquiry” (NYT, 1/28/13)
  • “Citi adds to drain of funds at SAC” (WSJ, 1/25/13)
  • [TOP TEN] “Witness adds thread to SAC probe” (WSJ, 1/24/13)
  • “SAC misses our on big investment” (WSJ, 1/22/13)
  • [TOP TEN] “How pursuit of billionaire hit one dead end” (NYT, 1/15/13)
  • “Possible client redemptions weigh on SAC” (NYT, 1/12/13)
  • “SAC is bracing for big exodus of funds” (WSJ, 1/11/13)
  • “Ex-SAC official denies insider trading claim” (FT, 1/4/13)
  • “Ex-portfolio manager pleads not guilty” (NYT, 1/4/13)
  • “Ex-fund manager enters not guilty plea” (WSJ, 1/4/13)
• Hedge Fund SAC Capital Advisers (Wang):
  • “Hedge-fund consultant avoids jail” (WSJ, 1/10/13)
  • “Probation for ex-Sac analyst who cooperated in insider trading inquiry” (NYT, 1/10/13)
  • “SAC boosts size of bonuses” (WSJ, 1/9/13)
  • “Ex-analyst cooperates in insider trade case” (NYT, 1/9/13)
  • “Hedge-fund consultant wore wire” (WSJ, 1/9/13)
• Insider Trading (Kuiken):
  • [TOP TEN] “Once-defiant insider: I’m sorry” (WSJ, 1/16/13)
  • “Analyst sentenced to 4 years in a turbulent case” (NYT, 1/16/13)
• Insider Trading Investigations of Media Firms on Data Release: “Media firms probed on data release” (WSJ, 1/29/13)
• Insider Trading (Whitman): “Former hedge fund manager is sentenced” (WSJ, 1/25/13)
• Morgan Stanley Managing Director Insider Trading Conviction (Skowron): “Skowron fights bank” (WSJ, 1/15/13)
• Political Insider Information [TOP TEN] “Buying Political intelligence can pay off big for Wall Street” (WSJ, 1/18/13)

December 2012

• CEO Insider Trading Rules: “Pension funds seek insider curbs” (WSJ, 12/31/12)
• CEO Stock Sales and 10b5-1 Plans:
  • “Executives sales sold amid stock buyback” (WSJ, 12/21/12)
  • [TOP TEN] “Despite 2007 Warning experts say loopholes remain for corporate insiders: Trading plans under fire” ( WSJ, 12/14/12)
  • [TOP TEN] “Insider-Trading probe widens” (WSJ, 12/11/12)
• Facebook/Morgan Stanley Landmark Insider Trading Settlement:
  • “Morgan Stanley is fined over Facebook I.P.O. role” (NYT, 12/18/12)
  • “Morgan Stanley gets Facebook fine” (WSJ, 12/18/12)
• Gupta Trial, Sentencing, and Appeal:
  • “Gupta free while on appeal” (WSJ, 12/5/12)
  • “Gupta to avoid jail as he appeals” (LAT, 12/5/12)
  • “Trading insider to remain free on bail” (NYT, 12/5/12)
• Hedge Fund SAC Capital Advisers (Martoma/Patel/Cohen) :
  • [TOP TEN] “There is something about Stevey: Long a Wall Street fascination, a Hedge Fund billionaire now has investigators riveted too” (NYT, 12/22/12)
  • “Titan to withdraw money from SAC” (WSJ, 12/22/12)
  • “Former SAC trader is indicted in insider case” (NYT, 12/22/12)
  • “Quiet doctor, lavish insider: a parallel life” (NYT, 12/15/12)
  • “SAC’s big trade in spotlight” (WSJ, 12/15/12)
  • [TOP TEN] “A longstanding Wall Street custom of favoring performance over ethics” (NYT, 12/13/12)
  • “A big lover and money man is missing at the fair” (NYT, 12/7/12)
  • [TOP TEN] “Trail to a hedge fund, from a cluster of cases” (NYT, 12/6/12)
  • “Clock ticks for SAC investors” (WSJ, 12/3/12)
  • “SAC investors agonoize of whether to stay put” (FT, 12/3/12)
  • “The high cost of ignorant stock prices” (WSJ, 12/1/12)
• Insider Trading Investigation of Diamondback Capital Ex-Employees:
  • “Diamondback is shutting down” (WSJ, 12/7/12)
  • “Diamondback capital to close after investors withdraw $528 million” (NYT, 12/8/12)
• Insider Trading Investigation of Big Lots Inc. CEO (Fishman):
  • “Big sales by Big Lots Brass” (FT, 12/12/12)
  • “FBI probes Big Lots chief” (WSJ, 12/7/12)
  • “Big Lots Chief probed by SEC” (WSJ, 12/5/12)
• Insider Trading Investigation of Wells Fargo Investment Banker (Femenia):
  • “Ex-Wells Fargo Banker Charged” (WSJ, 12/14/12)
  • “SEC charges banker with insider trading” (LAT, 12/6/12)
• Insider Trading Trial of Hedge Fund Managers (Chiasson, Newman):
  • “Insider Verdict is likely to propel SAC case” (WSJ, 12/19/12)
  • [TOP TEN] “The impact of the latest insider trading convictions” (NYT, 12/18/12)
  • [TOP TEN] “Two ex-hedge fund traders are found guilty in insider trading case” (NYT, 12/18/12)
• Insider Trading Trial of Mizho International Banker (Amman): “Ex-Mizho banker jailed over insider dealing” (FT, 12/14/12)
• Rajatnam Settles SEC Suit: “Rajaratnam pays $1.45 million over Gupta insider tips” (WSJ, 12/27/12
• Research Analyst Insider Trading (Martin): “Analyst charged in Inside case” (WSJ, 12/27/12)
• SEC Investigation of Hedge Fund Tiger Asia Management:
  • “Tiger Asia founder, one time star, admits to his fund’s improper trading” (NYT, 12/13/12)
  • “Fund pleads guilty in fraud” (WSJ, 12/13/12)

November 2012

• CEO Stock Sales:
  • “For insiders, it’s all in the timing” (WSJ, 11/29/12)
  • “Disclosure on trades is sought” (WSJ, 11/29/12)
  • “Executives good luck on selling of stocks” (WSJ, 11/28/12)
• Delta Petroleum Former CEO Insider Trading: “Delta Petroleum: SEC accuses ex-officer” (WSJ, 11/29/12)
• “Fat Man” Insider Trading Scheme:
  • “Alleged Insider group includes website editor” (WSJ, 11/30/12)
  • “Pals, colleagues — alleged insiders” (WSJ, 11/20/12)
• Gupta Sentencing: “Gupta to press case for bail pending appeal” (WSJ, 11/29/12)
• Hedge Fund SAC Capital Advisers (Martoma):
  • “SEC weighs suit against SAC Capital” (NYT, 11/29/12)
  • “For SAC’s Cohen, new battleground in an old fight” (WSJ, 11/29/12)
  • “SEC fires a warning shot at SAC” (WSJ, 11/29/12)
  • “SAC hedge fund said to face possible SEC action” (LAT, 11/29/12)
  • “SAC set to face inside trading charges” (FT, 11/29/12)
  • “SAC trader fainted as FBI pressed on boss” (WSJ, 11/28/12)
  • “Former analyst is freed on bail in an insider case” (NYT, 11/28/12)
  • [TOP TEN] “Knowledge is money, but the peril is obvious” (NYT, 11/28/12)
  • “SAC chiefs to address investors concerns” (FT, 11/28/12)
  • “SAC Capital to try to reassure investors” (NYT, 11/28/12)
  • “SAC aims to assuage investors’ concerns” (WSJ, 11/28/12)
  • “Accused insider trader out on bond” (LAT, 11/27/12)
  • [TOP TEN] “New breed of SAC Capital hire is at center of insider trading case” (NYT, 11/26/12)
  • “The quintessential trader with the fund in a spotlight” (FT, 11/24/12)
  • “New trading case casts a deep shadow on Hedge Fund Mogul” (NYT, 11/24/12)
  • [TOP TEN] “The trade that threatens to haunt top hedge funds” (FT, 11/23/12)
  • “Authorities try to flip trader in insider case” (WSJ, 11/23/12)
  • “Trading charges reach SAC” (WSJ, 11/21/12)
  • “US alleges trading on inside tips” (LAT, 11/21/12)
  • “SAC Capital caught in new insider trading case” (FT, 11/21/12)
  • “Insider inquiry inching closer to billionaire” (NYT, 11/21/12)
  • “Cohn linked to insider trading scheme” (FT, 11/21/12)
• Insider Trading Investigation of Euro Pacific Capital Brokers: “‘Illegal Tipping’ alleged on IBM deal” (WSJ, 11/30/12)
• Insider Trading Trial of Hedge Fund Managers (Chiasson, Newman):
  • “Trial begins for fund managers accused of insider trading” (WSJ, 11/14/12)
  • “Defense opens insider trade case with attack on witnesses” (NYT, 11/14/12)
  • “Trial to open in $68 million insider trading case” (NYT, 11/13/12)
• Investigation of Silicon Valley Executive (Chellam): “Executive settles in Insider trading suit” (LA Daily Journal, 11/1/12)
• Japanese Insider Trading (Nomura): “Another legal problem for Nomura” (NYT, 11/3/12)
• UK Deutsche Bank Probe: “Deutsche Bank sets aside money for Libor costs” (FT, 11/29/12)

October 2012

• Embezzlement at Citi Group: “A secretary to a Soloman is accused of embezzling”  (NYT, 10/22/12)
• Galleon Insider Trading Case/Rajaratnam Appeal:
  • “Lawyer denounces wiretaps in appeal of Galleon case” (NYT, 10/26/12)
  • “Rajaratnam’s appeal aims at wiretaps” (WSJ, 10/26/12)
  • “Appeal on insider trading case centers on wiretap” (NYT, 10/24/12)
• Gupta Sentencing:
  • “Ex-Goldman board member Gupta jailed for two years” (FT, 10/27/12)
  • “Gupta gets two year sentence” (LAT, 10/25/12)
  • “Gupta gets two years for leaking inside tips” (WSJ, 10/25/12)
  •  [TOP TEN] “Ex-Goldman Director to serve two years in insider case” (NYT, 10/25/12)
  • “Push for leniency as ex-Goldman director faces sentencing” (NYT, 10/18/12)
  • “Gupta prosecutors seek stiff sentence” (WSJ, 10/18/12)
  • “Dear Judge, Gupta is a good man” (WSJ, 10/13/12)
  • “In Gupta Sentencing, a judgement call” (WSJ, 10/10/12)
• [TOP TEN] Insider Trading Investigations: “US steps up probes on insider trading” (FT, 10/3/12)
• Insider trading trial of hedge fund managers (Chiasson, Newman): “Ex-hedge fund managers face insider trading trial” (FT, 10/29/12)
• Japanese Insider Trading (Nomura):
  • “Trading scandal weights on Nomrua” (FT, 10/30/12)
  • “Nomura ekes out a profit after a scandal” (NYT, 10/30/12)
• Son of Former Kyrgyzstan Ruler Insider Trading Case (Bakiyev): “Asian Scion’s trades draw scrutiny” (WSJ, 10/18/12)
• UK Deutsche Bank Probe:
  • “UK charges four an insider probe” (WSJ, 10/2/12)
  • “Four charged over alleged insider dealings conspiracy” (FT, 10/2/12)

September 2012

• Galleon Insider Trading Case/Rajaratnam Appeal:
  • “A crucial witness in Rajaratnam trial receives probation” (NYT, 9/25/12)
  • “Key witness in Galleon probe sentenced to probation, fines” (WSJ, 9/25/12)
  • “Lenient sentence is urged for Insider Trading witness” (NYT, 9/8/12)
• Japanese Insider Trading Inquiry: “Daiwa lifts the curtain on insider allegations” (WSJ, 9/17/12)
• SAC Analyst Guilty Plea (John Horvath): “Former SAC analyst pleads guilty to insider trading” (NYT, 9/29/12)
• SEC Insider Trading Case (Obus): “A decade old- Insider trading case in resolved” (WSJ, 9/7/12)
• SEC Subpeonas to Hedge Funds re meeting with Paulson: “Trades after 2008 meeting probed” (WSJ, 9/14/12)

August 2012

• Bristol-Meyers Executive (RAMNARINE):
  • “Bristol-Meyers Executive charged with insider trading” (WSJ, 8/3/12)
  • “Bristol-Myers executive accused of insider deals” (NYT, 8/3/12)
• Galleon Insider Trading Case: “Insider Out” (Scolaro gets 3 years probation) (Forbes Magazine Photo, 8/3/12)
• Hedge Fund Manager (Whitman) Insider Trading Trial:
  • “Hedge fund manager found guilty of insider trading” (NYT, 8/21/12)
  • “Hedge fund founder found guilty of insider trading” (LAT, 8/21/12)
  • “Whitman loses insider trial” (WSJ, 8/21/12)
  • “Hedge manager goes on offense in his defense” (WSJ, 8/15/12)
  • “Insider Informant: Some Tips were Refused” (WSJ, 8/9/12)
  • “Insider Informant: Hedge-Fund manager aggressively sought tips” (WSJ, 8/8/12)
  • “Key inside informant takes witness stand” (WSJ, 8/7/12)
  • “Insider trial of manager kicks off” (WSJ, 8/1/12)
• Japan Insider Trading (Nomura):
  • “Nomura retrenches, mends fences” (WSJ, 8/27/12)
  • “Modest penalty for Nomura” (WSJ, 8/3/12)
  • “Bowed by overambition” (FT, 8/2/12)
  • “Nomura faces penalty over insider case” (FT, 8/1/12)
• Japanese Insider Trading Inquiry:
  • “Duel challenge to Japan insider trading charges” (FT, 8/24/12)
  • “Japan widens inquiry into insider trading” (NYT, 8/3/12)
• New Mexico Officials Fake Audit/Bond Fraud: “New Mexico officials charged with securities fraud” (WSJ,8/9/12)
• SEC Insider Trading Case (Eddie Murray):
  • “Baseball star Eddie Murray settles insider trading probe” (LAT, 8/18/12)
  • “Baseball hall of famer settles insider trading case” (NYT, 8/18/12)
• “Squawk-Box” Insider Trading Conviction: “Appeals Court reverses convictions in ‘Squawk Box’ trial” (WSJ, 8/3/12)

July 2012

• Hedge Fund Manager (Whitman) Insider Trading Trial: “Defendant in insider case: I was just doing my job” (WSJ, 7/31/12)
• Hedge Fund Surveys:
  • “Not all investors are equal” (NYT, 7/18/12)
  • “Surveys give big investors early view from analysts” (NYT, 7/16/12)
• Insider Trading Independent Research Analyst (Kinnucan):
  • “Plea ends bizarre chapter in probe” (WSJ, 7/26/12)
  • “Kinnucan pleads guilty to insider trading charge” (FT, 7/26/12)
  • “Analyst who taunted authorities pleads guilty” (NYT, 7/26/12)
  • “Analyst expected to plead guilty to insider trading” (NYT, 7/25/12)
  • “Analyst expected to plead guilty” (WSJ, 7/25/12)
• Japan Insider Trading (Nomura):
  • “Nomura chief resigns over insider trading scandal” (NYT, 7/27/12)
  • “Resume of Nomura’s new chief says a lot” (WSJ, 7/27/12)
  • “Nomura scandal dents global aim” (WSJ, 7/27/12)
  • “Nomura retreats to faltering Japan” (FT, 7/27/12)
  • “Nomura CEO to step down” (WSJ, 7/26/12)
  • “Insider trading casts dark pall in Japan” (FT, 7/10/12)
  • “Nomura frozen out of deals amid scandal” (WSJ, 7/10/12)
  • “Japan watchdog asks brokers for records in insider trading probe” (FT, 7/6/12)
• Rajaratnum/Gupta Convictions:
  • “No jail time for cooperating witness in Galleon case” (NYT, 7/20/12)
  • “Kumar avoids jail for his help in insider crackdown” (WSJ, 7/20/12)

June 2012

• Corporate Lawyer (Kluger): “Longest sentence in insider case” (WSJ, 6/5/12)
• Gupta Trial:
  • “Emails tie Goldman manager and Rajaratnam” (WSJ, 6/22/12)
  • “For Gupta juror, no rush to judge” (WSJ, 6/19/12)
  • “Stuck with a defense tab and awaiting a payback” (NYT, 6/19/12)
  • “Gupta guilty of insider trading” (FT, 6/16/12)
  • “Former Goldman director guilty” (LAT, 6/16/12)
  • “Victory spurs speculation on Bharara’s next move” (NYT, 6/16/12)
  • “Insider case lands big catch” (WSJ, 6/16/12)
  • “Ex-Goldman director convicted of passing secrets to hedge funds” (NYT, 6/16/12)
  • “Jurors begin deliberations on insider trading trial” (NYT, 6/15/12)
  • “Jury gets insider case of Ex-Goldman director” (NYT, 6/14/12)
  • “In Gupta trial, prosecution and defense trade parting shots” (WSJ, 6/14/12)
  • “Call records at center in Gupta insider trading trial” (FT, 6/13/12)
  • “Gupta rests in insider trading trial” (WSJ, 6/13/12)
  • “Gupta’s daughter testifies at insider trading trial” (NYT, 6/13/12)
  • “Gupta labeled as ‘truthful’” (WSJ, 6/12/12)
  • “Is this court room banter funny? You be the judge” (WSJ, 6/12/12)
  • “Insider trading case focuses on defendants character” (NYT, 6/12/12)
  • “Gupta opting not to testify in his insider trading trial” (NYT, 6/11/12)
  • “Gupta won’t testify” (WSJ, 6/11/12)
  • “An unrequited colloquy” (WSJ, 6/11/120
  • “Gupta ‘highly likely’ to testify in insider trading trial” (WSJ, 6/9/12)
  • “At insider trial, star witness and charts” (NYT, 6/8/12)
  • “Prosecutors hone Gupta case” (WSJ, 6/8/12)
  • “Gupta had fund spat in ‘07” (WSJ, 6/7/12)
  • “Prosecutors tried to prove incentive for insider tips” (NYT, 6/7/12)
  • “Goldman’s chief takes stand in an insider trading case” (NYT, 6/5/12)
  • “Blankfein says topics of board are secret” (WSJ, 6/5/12)
  • “Goldman CEO says Gupta knew of secrets” (LAT, 6/5/12)
  • “In insider case spotlight on a consultant’s wealth” (NYT, 6/2/12)
• Japan Insider Trading (Nomura):
  • “Nomura executives take pay cuts over insider trading leaks” (FT, 6/30/12)

May 2012

• Gupta Trial:
  • “Insider trial includes name dropping” (NYT, 5/31/12)
  • “Trader Testifies about Tip” (WSJ, 5/30/12)
  • “Ex-Galleon Trades Plays Big Role in Insider case” (NYT, 5/30/12)
  • “Gupta could be risky witness in own defense” (WSJ, 5/29/12)
  • “Prosecutor’s Present Email Evidence at Insider Trial” (NYT, 5/26/12)
  • “Jurors hear wiretaps” (WSJ 5/25/12)
  • “Dueling Portrayals of  Former Goldman Director at Insider Trading Trial” (NYT 5/22/12)
  • “Judge may permit wire taps as evidence in insider case” (NYT 5/17/12)
  • “US v Gupta: the wire taps” (WSJ 5/12/12)

April 2012

• “Insider Trading Riddle: Why do the rich risk it” (NYT 4/4/12)