Sentences with phrase «insider trading division»
Before that, David worked for New York Life Securities within its Insider Trading Division.
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In recent years the division has achieved remarkable success prosecuting financial crisis cases, insider trading and other violations, while returning billions to harmed investors.
A former chief trial attorney for the Division of Enforcement of the SEC, Neil has litigated dozens of cases involving allegations of financial fraud, fair value improprieties, market manipulation, insider trading, accounting irregularities and proxy violations.
Fraud, embezzlement, insider trading, computer crime, and other cases typically involve the U.S. Department of Justice, the Securities Exchange Commission (SEC) and Internal Revenue Service (IRS) enforcement divisions, investigations against professionals such as CPAs, attorneys, stock brokers, corporate officers, corporate board members, and entrepreneurs.
In addition to his case work, Mr. Safwat worked on policy matters such as new criminal discovery initiatives within the Criminal Division and on proposed amendments to the U.S. Sentencing Guidelines relating to corporate accounting fraud and insider trading.
Kevin served as a branch chief in the Division of Enforcement of the SEC, where he led cases regarding financial fraud, market manipulation, insider trading, the Foreign Corrupt Practices Act, and municipal bond offerings.