January 28, 2016

February 5, 2015

The SEC charged a stock research analyst, a corporate insider, and two others involved in a California-based insider trading ring that generated nearly $750,000 in illegal profits by trading in advance of four corporate news announcements.  According to the government, John Gray, then an analyst at Barclays Capital, and his friend Christian Keller traded on confidential merger information that Keller learned while working in finance at two Silicon Valley-based public companies Applied Materials Inc. and Rovi Corporation.  Gray, Keller and their accomplices agreed to settle the SEC’s charges by paying more than $1.6M combined.  SEC

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