November 23, 2021/US SEC The Securities and Exchange Commission obtained a final judgment on November 22, 2021 against John A. Paulsen, a former managing director and fixed income research analyst at a registered broker-dealer who was charged with aiding and abetting a pay-to-play scheme involving the New York State Common Retirement Fund. […]
Frauds & Scandals
SEC Obtains Final Judgment Against Trader in International Insider Trading Scheme
November 23, 2021/US SEC On November 22, 2021, the United States District Court for the Southern District of New York entered a final consent judgment against Israeli citizen Dov Malnik in connection with his participation in a prolific insider trading scheme. To settle the charges against him, Malnik agreed to […]
SEC Charges Mother and Son with Insider Trading
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 […]
