Connecticut state Sen. Alex Bergstein's divorce case with her husband, Morgan Stanley managing director Seth Bergstein, has exposed her new romantic relationship with her former campaign manager, Nichola Samponaro.Seth Bergstein allegedly suggested that some of his money that he promised his wife be funneled through a private company to pay for the legislative salary of Samponaro if Senate Democrats did not pay her salary, according to court documents. He never actually paid the money.Alex Bergstein in November became the first Democrat since 1930 to be elected to the state Senate out of Greenwich.
[R]amsey conspired with Damilare Sonoiki and Marvin Mychal Kendricks, both of whom have already pleaded guilty to similar charges. The indictment alleges that Sonoiki (then an analyst at a global investment bank in New York) provided material, non-public information to Kendricks (then a linebacker for the Philadelphia Eagles) and to Ramsey, who was Kendricks' roommate. The information that Sonoiki provided was about upcoming mergers involving four investment bank clients. Sonoiki obtained this information in violation of his duty of confidentiality that he owed to the investment bank.The indictment alleges that Kendricks gave Ramsey access to his brokerage account. Relying on the material, non-public information they received from Sonoiki, Kendricks and Ramsey purchased call options between July 2014 and November 2014 in the target companies: Compuware Corporation, Move, Inc., Sapient Corporation, and Oplink Communications LLC. When the proposed merger was announced in each case, the value of the options went up significantly. During the period of the conspiracy, Kendricks made a profit of nearly $1.2 million. The indictment alleges that Kendricks provided, among other things, $15,000 to Ramsey for his participation in the scheme.
FINRA is issuing this Notice to remind firms they must register with FINRA CAT, LLC (FINRA CAT) for reporting to the Consolidated Audit Trail (CAT). CAT registration commenced on March 18, 2019, and will run through June 27, 2019. All Industry Members, as defined under the CAT NMS Plan, that will have a CAT reporting obligation must register during this window. . . .