Posts Tagged “Rajat Gupta”
by The Compliance Exchange on January 23, 2013
Gupta, a former Goldman Sachs board member, has asked a federal appeals court to reverse his conviction on insider trading charges, arguing that a judge made a series of incorrect rulings during his trial.
by The Compliance Exchange on December 17, 2012
Goldman Sachs Group Inc. GS +2.31% ex-director Rajat Gupta said Friday that the investment bank hasn’t justified its request for nearly $7 million in legal fees and other expenses it claims were spent in connection with his insider-trading case.
FINRA Sanctions David Lerner Associates $14 Million and Other Top Compliance Stories on Oct. 22, 2012
by Kyle Colona on October 22, 2012
FINRA Sanctions David Lerner Associates $14 Million The Financial Industry Regulatory Authority (FINRA) announced today that it has ordered David Lerner Associates of Syosset, NY, to pay approximately $12 million in restitution to affected customers who purchased shares in Apple (…)
by Beth Connolly on July 19, 2012
Anil Kumar claimed that he was a generally law-abiding citizen who made one mistake. And Judge Danny Chin agreed with him.
by Kyle Colona on July 2, 2012
Continued reporting on the expert-network insider trading cases and the light sentence handed out to former Galleon Group trader Adam Smith for cooperating with the investigation.
by The Compliance Exchange on June 26, 2012
The conviction of former McKinsey & Co. chief Rajat Gupta does not represent the end of the Galleon Group insider-trading case
by The Compliance Exchange on June 20, 2012
For Goldman Sachs, the insider trading case against a former board member, Rajat K. Gupta
by Julie DiMauro on June 19, 2012
In light of Rajat Gupta’s conviction, compliance officers must take special care in monitoring the activities of the members of the board.
by Beth Connolly on June 18, 2012
Judge Jed Rakoff has a history or leniency in sentencing Wall Street crooks.