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Why Insider Trading Is Hard to Define, Prove and Prevent

Author: Knowledge@Wharton
Product Type: Journal Articles
Source: Knowledge@Wharton
Publication Year: 2009

[This document has not yet been rated] 611 views

Aside from being the most sensational insider trading case of recent years, and the biggest ever to involve a hedge fund, the Galleon case raises questions about what exactly constitutes insider trading...

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Insider Trading Quiz

Authors: Paine, Lynn Sharp; Bruner, Christopher M.
Product Type: Exercises
Source: Harvard Business School
Publication Year: 2005

[This document has not yet been rated] 851 views

Designed to reinforce and test understanding of basic theories of insider trading under U.S. law.

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Note on Insider Trading Liability

Authors: Bruner, Christopher M.; Paine, Lynn S.
Product Type: Research Notes / Working Papers
Source: Harvard Business School
Publication Year: 2004

[This document has not yet been rated] 1126 views

Provides a general description and overview of U.S. law on insider trading, including the basic theories of liability, the responsibilities of securities firm managers to prevent and detect insider trading, and potential penalties...

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Insider Trading in India: Lessons to Learn from the US

Author: Ratna, Garima
Product Type: Cases
Source: Amity Research Centre
Publication Year: 2013

[This document has not yet been rated] 254 views

The celebrated Rajat Gupta case had stirred the stock market community as well as the legal fraternity around the world. It threw floodlights on the widely rampant but hardly acknowledged issue of insider trading...

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Warrant Out for Pakistani Banker 

Author: Masters, Brooke
Product Type: Magazine / Newspaper Articles
Source: The Financial Times
Publication Year: 2007

[This document has not yet been rated] 915 views

Ajaz Rahim, 47, was charged with 25 counts of insider trading and one of conspiracy. If convicted, he faces up to 20 years in prison for each insider trading count and five years for the conspiracy charge. The deals include the sales of TXU Corp...

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Martha Stewart (A, B, C)

Authors: Paine, Lynn S.; Bruner, Christopher M.
Product Type: Cases
Source: Harvard Business School
Publication Year: 2006

[This document has not yet been rated] 2604 views

Explores Martha Stewart's December 2001 sale of ImClone Systems common stock, the ensuing federal investigations into possible insider trading, and Stewart's criminal prosecution and sentencing...

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Insider Trading 2011: How Technology and Social Networks Have 'Friended' Access to Confidential Information

Author: Knowledge@Wharton
Product Type: Journal Articles
Source: Knowledge@Wharton
Publication Year: 2011

[This document has not yet been rated] 1257 views

Raj Rajaratnam, founder of the Galleon Group hedge fund in New York, has been found guilty on all counts in one of the largest insider trading cases in U.S history. Amid the discussions on that case and on insider trading generally, the role of technology in communicating information has often been overlooked.

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Anheuser-Busch and Campbell Taggart (Abridged)

Author: Sirri, Erik
Product Type: Cases
Source: Harvard Business School
Publication Year: 1993

[This document has not yet been rated] 588 views

In 1984, the SEC accused Paul Thayer and eight others of insider trading. Some of Thayer's inside information came from his position on the board of Anheuser-Busch, where he had learned about Busch's 1982 merger with Campbell Taggart before the merger was publicly announced.

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Barry Fine

Authors: Wicks, Andrew C.; Shinewald, Jeremy; Mead, Jenny
Product Type: Cases
Source: Darden School of Business
Publication Year: 2004

[This document has not yet been rated] 607 views

What does a nonprofit do when its major donor is indicted on insider trading?

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Chinese Business Mogul Sentenced to Prison

Author: Wines, Michael
Product Type: Magazine / Newspaper Articles
Source: The New York Times
Publication Year: 2010

[This document has not yet been rated] 788 views

A high-school dropout who built the Chinese home appliance chain Gome into a multibillion-dollar empire was sentenced to 14 years in prison on Tuesday after being convicted of insider trading, bribery and other crimes, government prosecutors reported.

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The Billionaire's Apprentice: The Rise of The Indian-American Elite and The Fall of The Galleon Hedge Fund

Author: Raghavan, Anita
Product Type: Books / Book Chapters
Source: Business Plus
Publication Year: 2013

[This document has not yet been rated] 318 views

The collapse of the Galleon Group--a hedge fund that managed more than $7 billion in assets--from criminal charges of insider trading was a sensational case that pitted prosecutor Preet Bharara, himself the son of Indian immigrants, against the best and brightest of the South Asian business community...

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Was Insider Trading Ahead of Takeovers a Problem?

Authors: Foerster, Stephen R.; King, Michael R.; Sonmez, Fatma
Product Type: Cases
Source: Richard Ivey School of Business
Publication Year: 2012

[This document has not yet been rated] 717 views

On January 6, 2010, Stanko Grmovsek was sentenced to three years and three months in prison for making profits of an estimated US$9 million over 14 years based on insider tips from his best friend from law school...

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Insider Trading: Law, Trust, and Prevention

Authors: Seyedin-Noor, Bahram; O'Brien, Hollis
Product Type: Policy and Issue Reports
Source: Santa Clara University
Publication Year: 2010

[This document has not yet been rated] 696 views

A white paper produced for the Center’s Business and Organizational Ethics Partnership analyzes the new focus on insider trading at the SEC and suggests ways for businesses to avoid problems.

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Insider Trading Preceding Goodwill Impairments

Working Paper 10-007

Authors: Muller, Karl A. III; Neamtiu, Monica; Riedl, Edward J.
Product Type: Research Notes / Working Papers
Source: Harvard Business School
Publication Year: 2009

[This document has not yet been rated] 841 views

We investigate whether insiders strategically sell shares prior to the disclosure of goodwill impairment losses.

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I Was Greedy, Too

Author: Coutu, Diane L.
Product Type: Journal Articles
Source: Harvard Business Review
Publication Year: 2003

[This document has not yet been rated] 945 views

Why did so many of us fall prey to greed? Can we be sure it won't happen again?

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The Securities and Exchange Commission (SEC)

Author: The SEC
Product Type: Web Sites
Source: U.S. Securities and Exchange Commission
Publication Year: 2011

[This document has not yet been rated] 1707 views

The SEC is responsible for implementing a series of regulatory initiatives required under the Dodd-Frank Wall Street Reform and Consumer Protection Act.

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The Good Bookkeepers

America's Most Trustworthy Companies

Author:
Product Type: Magazine / Newspaper Articles
Source: Forbes.com
Publication Year: 2007

[This document has not yet been rated] 855 views

Trust in free-market capitalism requires that shareholders and other stakeholders in the system have confidence in the probity of companies. Discusses what it takes to be one of the most trustworthy U.S. companies...

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Texas Gulf Sulphur

The Timmins Ontario Mine

Authors: Reiling, Henry B.; Camargo, Maria M.
Product Type: Cases
Source: Harvard Business School
Publication Year: 2006

[This document has not yet been rated] 3857 views

Employees, officers, and directors of Texas Gulf Sulphur acquired or tipped off others to acquire common stock or options before and concurrent with the announcement of a major discovery of ore.

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10b5-1 Plans: Mortgaging a Defense against Insider Trading

Authors: Larcker, David F.; Tayan, Brian
Product Type: Cases
Source: Stanford Graduate School of Business
Publication Year: 2007

[This document has not yet been rated] 513 views

This case is designed for a discussion of insider trading regulations and the safe haven provisions of 10b5-1. Readers of the case are expected to consider from the perspective of shareholders, corporate boards and regulators the appropriate restrictions that should be placed on executive stock sales and specifically what constitutes trading on the basis of material nonpublic information.

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Corporate Governance at Martha Stewart Living Omnimedia: Not "A Good Thing"

Author: Shein, James B.
Product Type: Cases
Source: Kellogg School of Management
Publication Year: 2014

[This document has not yet been rated] 309 views

The case opens with Martha Stewart's 2005 release from prison following her conviction for obstructing an insider-trading investigation of her 2001 sale of personal stock. The scandal dealt a crippling blow to the powerful Martha Stewart brand and drove results at her namesake company, Martha Stewart Living Omnimedia (MSO), deep into the red. Internal challenges loomed even larger, with numerous failures of governance while the company attempted a turnaround...

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Graduating MBAs Are Ill Equipped to Lead Firms in Uncertain Times

Author: Samuelson, Judith
Product Type: Magazine / Newspaper Articles
Source: Huffington Post
Publication Year: 2011

[This document has not yet been rated] 757 views

As commencement season shifts into high gear, it is worth asking: Has graduate education, in particular finance courses, prepared MBA students to steer us away from future crises, in what are sure to be even more volatile times? As someone who has made it my mission to retool the business curriculum at MBA programs around the world, when it comes to finance, at least so far, I fear the answer is 'no'-- the heavy lifting is still ahead.

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Royal Group Technologies

Authors: Bryant, Murray J.; Mark, Ken
Product Type: Cases
Source: Richard Ivey School of Business
Publication Year: 2011

[This document has not yet been rated] 1049 views

The Royal Group Technologies case provides information on the insider trading and other allegations faced by the former executive officer and the company's management team. By the early 2000s, stakeholders were starting to question some of management's practices, including awarding themselves high levels of compensation and engaging in related party transactions.

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The Collapse of Enron

Author: Lawrence, Anne T.
Product Type: Cases
Source: Irwin/McGraw-Hill
Publication Year: 2003

[This document has not yet been rated] 4124 views

This case focuses on the bankruptcy of Enron Corporation and permits students to construct an analysis of the external and internal causes of Enron's collapse.

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Fairness in Finance

Author: Statman, Meir
Product Type: Journal Articles
Source: Explore, Winter 2000
Publication Year: 2000

[This document has not yet been rated] 119 views

Is finance all money and no compassion? And by which words and deeds can we change its perceptions and realities? We strive to help our students grow into people of competence, conscience, and compassion. I build my essay on these three pillars.

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Case Study Hypothetical—You Are the Audit Committee Chair

Authors: American Institute of Certified Public Accountants; Walter, Robert W.
Product Type: Books / Book Chapters
Source: "Corporate Ethics for Financial Managers-Navigating With Case Studies and Practical Solutions," Chapter 8: "Case 8-Precious Mining Inc.: You Are the Audit Committee Chair." By Robert W. Walter, J.D. © 2003 by the American Institute of Certified Public Accountants, Inc., New York, New York.
Publication Year: 2003

[This document has not yet been rated] 1765 views

As Congress, the Justice Department and the SEC began to investigate corporate scandals at Adelphia, Enron, HealthSouth, Qwest, Sunbeam, Tyco, Worldcom, Xerox and other well-known public companies, one clear consensus seemed to emerge: in nearly all of these cases, the board of directors and the audit committee were apparently "asleep at the switch."

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Introduction to Business Law

INSEAD

Authors: Cohen, Jake; Diakhate, Myriam
Product Type: Syllabi
Source: INSEAD, MBA Programme
Publication Year: 2007

[This document has not yet been rated] 2030 views

The course will be useful for MBA students who intend to become general managers, advisors to senior managers, board members, or board advisors such as investment bankers and consultants. Please note that the course will concentrate primarily on US law with some discussions on EU law.

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Search of the Week Archive

Author: The Aspen Institute Center for Business Education
Product Type:
Source: The Aspen Institute Center for Business Education
Publication Year: 2011

[This document has not yet been rated] 6868 views

CasePlace.org’s Searches of the Week.

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Training Managers for the Future

Author: Gentile, Mary C.
Product Type: Essays and Concept Papers
Source: The Aspen Institute Center for Business Education; E Journal USA
Publication Year: 2005

[This document has not yet been rated] 1820 views

In the wake of a new series of corporate scandals – Enron, Tyco, WorldCom, Arthur Andersen – business educators in the United States are once again facing difficult questions about their ability to prepare future managers to lead their organizations responsibly and ethically. I say “once again,” because we have been here before. There were the insider trading scandals of the 1980s, and the defense industry scandals before that...

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Ethics and the Pharmaceutical Industry

Authors: Santoro, Michael A.; Gorrie, Thomas M.
Product Type: Books / Book Chapters
Source: Cambridge University Press
Publication Year: 2005

[This document has not yet been rated] 1974 views

Despite the pharmaceutical industry's notable contributions to human progress, including the development of miracle drugs for treating cancer, AIDS, and heart disease, there is a growing tension between the industry and the public. Debates are raging over how the industry can and should be expected to act...

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Ameritrade Holding Corporation

The signals managers send when they sell shares

Author: Meulbroek, Lisa
Product Type: Cases
Source: Harvard Business School
Publication Year: 2000

[This document has not yet been rated] 2762 views

Some of the senior managers at Ameritrade, an Internet brokerage firm, are selling their holdings in the firm. Why are the managers selling, how will it affect shareholders, and what should the CEO do about it?

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