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Expert Analysis

FINRA's Foray Into Insider Trading

By Benjamin Kozinn, Ethan Silver and Ted McBride, Lowenstein Sandler LLP ( April 27, 2017, 11:59 AM EDT) -- On Aug. 1, 2013, the Department of Market Regulation of the Financial Industry Regulatory Authority Inc. charged a distressed debt trader (the "trader") at a well-established, multibillion-dollar hedge fund manager (the "investment adviser") with insider trading.[1] Almost four years later, on March 13, 2017, FINRA's complaint was dismissed by its highest appellate body, the National Adjudicatory Council.[2]...

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