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Article: FINRA Bars California Broker for Insider Trading.

Article from:
Investment Weekly News
Article date:
November 21, 2009
Copyright

The Financial Industry Regulatory Authority (FINRA) announced that a former registered representative, Abhishek Uppal, has been barred from the securities industry for engaging in insider trading earlier this year.

Uppal, of San Francisco, worked in the investment banking department of Piper Jaffray & Co. from 2007 to July 2009. He was barred for buying shares of SoftBrands, Inc. while it was in discussions with potential acquirers. Piper Jaffray was acting as a confidential advisor to SoftBrands in its dealings with possible buyers.

"FINRA devotes significant resources to surveilling the markets for possible insider trading activity because of the ...

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