The document details a complaint by the SEC against Tsai and Whelehan for insider trading related to ADT stock. Tsai purchased shares based on nonpublic information and recommended a relative to do the same, resulting in illicit profits. Both parties consented to judgments enjoining them from future violations and agreed to pay civil penalties and disgorgement. The SEC's investigation was conducted by its New York office.
documents/vol00010-efta01358942-pdf.pdf
{"key_people":["Tsai","Whelehan","Gerald Gross","Sheldon Mui","Sanjay Wadhwa"],"document_type":"legal","document_subtype":"SEC Complaint and Settlement","key_organizations":["SEC","Apollo Global Management, LLC"],"reference_numbers":["DB-SDNY-0046927","SDNY_GM_00193111","EFTA01358942"]}