A former Morgan Stanley Dean Witter & Co. analyst forgot a buddy's E*Trade account statement in an office copy machine, tipping off his employer to a possible insider-trading scheme. Highlighted transactions involving Morgan Stanley clients on the statement led to an internal investigation and culminated in the SEC filing criminal and civil charges Monday against the former analyst and his schoolteacher buddy. The two young men face up to five years in prison and fines of up to $250,000.
August 03, 1999 at 12:00 AM
1 minute read
The original version of this story was published on Law.Com
A former Morgan Stanley Dean Witter & Co. analyst forgot a buddy’s E*Trade account statement in an office copy machine, tipping off his employer to a possible insider-trading scheme.
Highlighted transactions involving Morgan Stanley clients on the statement led to an internal investigation and culminated in the Securities and Exchange Commission filing criminal and civil charges Monday against the former analyst and his schoolteacher buddy.
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