{"id":4386,"date":"2007-03-12T08:06:12","date_gmt":"2007-03-12T08:06:12","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2007\/03\/the_sec_and_the_us_attorneys_o_1"},"modified":"2022-03-25T14:47:01","modified_gmt":"2022-03-25T19:47:01","slug":"the-sec-and-the-us-attorneys-o-1","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/the-sec-and-the-us-attorneys-o-1\/","title":{"rendered":"The SEC And The U.S. Attorney\u2019s Office File Separate Criminal And Civil Actions In Major Insider Trading Schemes Involving Confidential Information From UBS Securities And Morgan Stanley"},"content":{"rendered":"

\t\t\t\tThe U.S. Attorney’s Office announced the unsealing of criminal actions against a dozen individuals for allegedly stealing and trading on inside information from Morgan Stanley and UBS Securities, LLC, two Wall Street brokerage firms. The SEC also filed charges against these individuals in a separate civil case.<\/p>\n

Former Morgan Stanley attorney Randi Collotta and former UBS Securities LLC executive Mitchell Guttenberg are two of the individuals out of more than a dozen people being charged by the U.S. Attorney’s Office for two bribery schemes and two insider trading schemes. Participants made over $8 million in illegal trading profits. U.S. Attorney Michael Garcia says all of the criminal defendants are in custody. Four of them have pleaded guilty. <\/p>\n

Garcia said that the defendants violated the trust that had been given to them, made money illegally, and took extensive measures to hide their alleged illegal actions. Concealment measures included secret meetings, paying cash kickbacks, and communicating in code using disposable cell phone.<\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

The U.S. Attorney’s Office announced the unsealing of criminal actions against a dozen individuals for allegedly stealing and trading on inside information from Morgan Stanley and UBS Securities, LLC, two Wall Street brokerage firms. The SEC also filed charges against these individuals in a separate civil case. Former Morgan Stanley attorney Randi Collotta and former […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3811,3787,3755],"tags":[],"class_list":["post-4386","post","type-post","status-publish","format-standard","hentry","category-insider-trading","category-morgan-stanley","category-ubs"],"yoast_head":"\nThe SEC And The U.S. Attorney\u2019s Office File Separate Criminal And Civil Actions In Major Insider Trading Schemes Involving Confidential Information From UBS Securities And Morgan Stanley — Investor Lawyers Blog — March 12, 2007<\/title>\n<meta name=\"description\" content=\"The U.S. Attorney's Office announced the unsealing of criminal actions against a dozen individuals for allegedly stealing and trading on inside — March 12, 2007\" \/>\n<meta name=\"robots\" content=\"index, follow, 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