The U.S. Securities and Exchange Commission has filed more charges in an insider trading case involving Wall Street hedge funds.
Following its ongoing investigation into alleged insider trading at hedge fund firm Galleon Group, the SEC brought more charges Monday, including allegations against hedge fund advisory firm Trivium Capital Management LLC, a fund manager, an analyst, and others. None of the allegations have been proven.
The SEC reports that it has now charged 27 defendants as a result of the investigation alleging widespread insider trading at numerous hedge funds, and by other professional traders, in the securities of 14 companies generating illicit profits totaling approximately US$69 million.
As a result of Monday’s charges, the SEC is seeking a judgment permanently enjoining the defendants from future violations of the federal securities laws, ordering them to disgorge their ill-gotten gains plus prejudgment interest, and ordering them to pay financial penalties.
“Today’s action reveals disturbingly corrupt arrangements — faithless company executives who secretly pass corporate information to hedge fund managers willing to violate the law for profit,” said Robert Khuzami, director of the SEC’s division of enforcement, in a release. “Market participants need to understand that by engaging in such behavior they invite SEC scrutiny, and we will uncover their conduct and take aggressive action.”
IE