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Settlements Including Disgorgement and Civil Penalties in Insider Trading Case

SEC v. Rex C. Steffes, Cliff M. Steffes, Rex R. Steffes, Bret W. Steffes, Robert J. Steffes, and W. Gary Griffiths

2014
$345,913

Defendants were charged with insider trading in advance of an acquisition of Florida East Coast Industries Inc., where two of the defendants worked. The scheme allegedly generated more than $1 million in illicit profits.

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SEC Prosecutions

Settlements Including Disgorgement and Civil Penalties in Insider Trading Case

SEC v. Rex C. Steffes, Cliff M. Steffes, Rex R. Steffes, Bret W. Steffes, Robert J. Steffes, and W. Gary Griffiths

Key Docs

Case Materials