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Violation Tracker Individual Record

Company: Pequot Capital Management, Inc.
Penalty: $28,000,000
Year: 2010
Date: May 27, 2010
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: insider trading
Mega-Scandal: Insider Trading
Violation Description: Connecticut-based hedge fund manager Pequot Capital Management, Inc. and its Chairman and CEO Arthur Samberg agreed to pay $28 million to settle allegations of insider trading in Microsoft Corporation securities.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
Source of Data: (click here)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.