November 23, 2021/US SEC The Securities and Exchange Commission charged New Jersey residents Carol E. Cohen and her son, Austin Rotter, with insider trading in the stock of The Trade Desk, Inc. Cohen and Rotter have agreed to pay more than $136,000 in penalties, subject to court approval. The SEC’s […]
Frauds & Scandals
SEC Issues Whistleblower Awards Totaling Approximately $10.4 Million
November 22, 2021/US SEC The Securities and Exchange Commission today announced awards totaling approximately $10.4 million to several whistleblowers who provided information and assistance in three separate covered actions. In the first order, the SEC issued awards totaling approximately $7.5 million to two whistleblowers. Both whistleblowers provided new and significant […]
SEC Charges Individual Who Made Nearly $10 Million Through Market Manipulation Scheme
November 19, 2021/US SEC The Securities and Exchange Commission charged James David O’Brien with carrying out a years-long multi-million dollar market manipulation scheme by making coordinated trades between multiple accounts maintained in his or his wife’s names at different brokerage firms. The SEC’s complaint alleges that O’Brien, 50, of Gibbsboro, […]
