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SEC & DOJ Prosecutions

SEC Settles Insider Trading Charges with a Former Investment Banking Firm Chairman/CEO, and an Adult Film Star and Her Friend

SEC v. James J. McDermott, Jr., Kathryn B. Gannon a/k/a Marylin Star and Anthony P. Pomonio

  • 2006
  • $467,000

Chairman and CEO of investment banking firm Keefe, Bruyette & Woods, Inc. provided insider information about at least six mergers involving regional banks, most of which were represented by the firm, to co-defendant Gannon, a former adult film star. She in turn tipped a friend, co-defendant Pomonio, and both traded and profited based on the information.

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