A former employee of Piper Jaffray & Co., Abhishek Uppal, has been barred from the securities industry for engaging in insider trading. The Financial Industry Regulatory Authority (FINRA) made this choice following actions taken by Uppal in June of this year.Uppal, a resident of the San Francisco area, bought shares of SoftBrands days before the company announced it was being bought by Golden Gate Capital and Infor Global Solutions.
Posts Tagged ‘Abhishek’
California Broker Barred from Securities Industry for Insider Trading
November 7th, 2009 
Before You Invest 
Posted in Finance Fraud 
Tags: Abhishek, Acquisition, Broker Dealer, Business Day, California Broker, Financial Industry Regulatory Authority, Golden Gate, Golden Gate Capital, Illegal Activities, Infor Global Solutions, Insider Trading, Mask, Piper Jaffray Co, Possession, San Francisco Area, Securities Industry, Softbrands, Stock Price, Uppal 
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