Walter C. Little, Andrew M. Berke

Trading and Pricing

SANCTION AMOUNT: $1008267

Defendants: Walter C. Little, Andrew M. Berke

Little, a law firm partner, accessed confidential documents on his firm's internal computer network related to at least 11 impending, market-moving announcements involving law firm clients, none of which he personally advised or billed for services. He then traded ahead of the announcements and often tipped his neighbor, Berke.

Key Docs
Official SEC press release

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