Violation Tracker Individual Record
Date:October 18, 2012
Offense Group:financial offenses
Primary Offense:investor protection violation
Secondary Offense:securities issuance or trading violation
A Hong Kong-based firm charged with insider trading in July agreed to settle the case by paying more than $14 million, which is double the amount of its alleged illicit profits.
Level of Government:federal
Action Type:agency action
Agency:Securities and Exchange Commission
Civil or Criminal Case:civil
Source of Data:
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