Steve Cohen Charged by SEC

Jul 22, 2013 – evestment.com Jing Chen   The U.S. Securities and Exchange Commission has charged SAC Capital Advisors’ Steve Cohen with failing to prevent insider trading at his firm. The SEC alleged in a statement last week that Cohen “ignored the red flags” from SAC portfolio managers Mathew Martoma and Michael Steinberg to execute […]

SEC Turns Attention To Private Equity

FINalternatives.com Jan 26 2012 | 9:51am ET The Securities and Exchange Commission is likely to step up its oversight of—and actions against—private equity firms over the next few years, the co-head of its asset management enforcement unit said yesterday. Robert Kaplan said the p.e. industry should expect more attention and enforcement actions in the years […]