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Browse: Home / insider trading


insider trading

Young IR firm employee charged in Galleon case

Young IR firm employee charged in Galleon case

By Dominic Jones on January 10, 2011

A FORMER investor relations firm employee who did work for Google Inc. (NASDAQ: GOOG) is among 4 people charged by the US Securities and Exchange Commission (SEC) in connection with the Galleon insider trading case.

Posted in IR News | Tagged ethics, insider trading

Loose lips, loose ethics, and outdated disclosure practices

By Dominic Jones on October 22, 2009

I’M A little bemused by the IR establishment’s response to the sensational allegations in the insider trading case against Galleon Management and a host of corporate executives and one IR consultant. NIRI CEO Jeff Morgan’s immediate response was to publish the following in a Tweet: “Following Galleon & is another reminder to NIRI members & [...]

Posted in Issues, Online IR | Tagged insider trading, regulation fd

SEC's new guidance for websites and blogs posted

By Dominic Jones on August 2, 2008

THE US Securities and Exchange Commission (SEC) has published its 47-page interpretive release that explains how companies can use their websites and blogs to meet its requirements for public disclosure under Regulation FD. Here’s a Scribd version of the complete release, which can also be downloaded in PDF from the SEC’s website. See my initial [...]

Posted in Annual Reports, Articles, Corporate Governance, Disclosure, Investor Relations | Tagged blogs, Compensation, disclosure documents, earnings, EDGAR, electronic delivery, feedback, feeds, finance, financial information, financial reporting, forums, insider trading, Internet, investor relations website, law, management, market participants, new york stock exchange, newswires, nyse, proxy statement, Quarterly Reporting, rss, SEC, securities, securities act, securities and exchange commission, strategy, technology, usability, XBRL, XML

Top tech blog exposes scam at IPO firm

By Dominic Jones on May 30, 2008

TECHCRUNCH, a leading technology blog that boasts more than 3 million readers, has accused a company that is currently preparing an IPO of funding its growth by running a scam that gets people to unknowingly bill small recurring payments to their credit cards. The company, Intelius, is run by Naveen Jain who left his former [...]

Posted in Articles, Investor Relations | Tagged blogs, David Phillips, deutsche bank securities, insider trading, Michael Arrington, nasdaq, SEC, securities and exchange commission, techcrunch, technology, ubs investment bank

Build better insider filings pages with free feeds

By Dominic Jones on April 9, 2008

WHEN it comes to disclosing insider trading on their investor relations websites, companies’ practices vary widely. Most firms give the information little thought, while a few go out of their way to make the information easy for investors to access and digest. But with the Securities and Exchange Commission (SEC) recently adding free XML-based news [...]

Posted in Articles, Investor Relations | Tagged EDGAR, feeds, insider trading, rss, SEC filings

The gray area of "big-boy letters"

By Dominic Jones on May 22, 2007

FOR those of you who appreciate the nuances of insider trading and other securities laws, the following question will probably give you goosebumps: Does the the buyer of securities sold via a big-boy letter have an obligation to inform the next buyer about the existence of the letter? After reading this tremendous article in the [...]

Posted in Disclosure | Tagged insider trading, law, SEC, securities

A riveting Friday read courtesy of the SEC

By Dominic Jones on May 4, 2007

IF YOU’RE a fan of crime and spy novels like I am, you’ll love the Securities and Exchange Commission’s news release and subsequent media coverage about yesterday’s bust in the TXU insider-trading case. The full release is here, but I’m reproducing some highlights below: The Securities and Exchange Commission today charged Hafiz Naseem, an investment [...]

Posted in IR News | Tagged insider trading, Kohlberg Kravis Roberts & Co., law, SEC

Canada world's insider trading capital, study

By Dominic Jones on March 22, 2007

HEY, everyone has to be good at something, right? Here at IR Web Report, we’re good at snide remarks about regulators and investor relations practices. And Canada? Well, according to a study commissioned by Bloomberg News, it has a prescient knack for buying stocks in companies that are about to be acquired. Looking at 52 [...]

Posted in Articles, Disclosure, Investor Relations | Tagged Bloomberg, Financial Services Authority, insider trading, London, Measuredmarkets Inc., SEC, securities, stocks

After “insider trading week”; beware the patsies

By Dominic Jones on March 4, 2007

“ARE (ordinary investors) being played for patsies in this system? Are there really just two tiers, and the insiders are always favored?” That question by NewsHour correspondent Maragaret Warner to Columbia Law School professor John Coffee on PBS on Friday night (MP3, 4.0 MB) encapsulates a view many Main Street investors are likely to share [...]

Posted in IR News | Tagged insider trading, retail investors, SEC

Rampant Insider Trading in Buy-Out Deals Claimed

By Dominic Jones on August 27, 2006

By IR Web Report Staff IN ANOTHER potential blow to the credibility of US capital markets, the New York Times has published a report it says shows widespread unusual trading in advance of major buy-out bids being announced. It is illegal to trade on inside information about an undisclosed merger, but the newspaper said that [...]

Posted in Disclosure, Issues | Tagged General Electric, insider trading, Measuredmarkets Inc., SEC

Best practices for online insider transaction disclosure

By Dominic Jones on July 12, 2003

INSIDER transactions are one of the most controversial and sensitive disclosures for companies to communicate to investors. How your company handles these disclosures can make a strong statement to investors about your company’s transparency. The history of insider transaction disclosure on the Web illustrates companies’ sensitivity and reluctance to provide this information to investors. For [...]

Posted in Corporate Governance, Disclosure, Online IR | Tagged corporate governance, insider trading, Section 16

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