SEC v. Andre Wong (insider trading, 2025)

Judgment entered

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In February 2025 the Securities and Exchange Commission announced a final consent judgment, entered January 30, against Andre Wong, a former Lumentum executive who bought 10,000 NeoPhotonics shares before Lumentum's November 4, 2021 acquisition announcement on a colleague's tip, for about $62,000 in profit. The judgment enjoins him, bars him from serving as an officer or director for five years, and orders $62,574 in disgorgement, $12,924 in interest and a $93,861 penalty.

The record

What was ordered

Civil penalty

$93.9k

Disgorgement

$62.6k

Prejudgment interest

$12.9k

Total relief

$169k

Alleged gain

$62k

A dash means the release did not state a figure we could extract, not that the figure is zero. Penalty and disgorgement are stored separately so aggregates across the library do not double-count the same dollars.

What is alleged to have happened

The Securities and Exchange Commission announced this judgment on February 4, 2025 as release LR-26237, in a Southern District of New York case filed June 3, 2024. It resolves the complaint recorded separately under the June 2024 release.

The original complaint alleged he traded on information about Lumentum's plans learned from a colleague.

For the regulator's own account of the facts, read the primary document linked above. This page deliberately summarises the structured record rather than reproducing the release.

What technique is this, and how does it work?

This action is tagged with one technique in our taxonomy. The tagging is ours: regulators charge statutory provisions, not technique names, so the mapping is an editorial judgement described in our editorial policy.

• Insider trading — see how it works, what statute it engages, and every other action tagged the same way.

Timeline

1. 2025-02-04 Litigation release published

Primary documents

Everything on this page derives from the documents below. Where our summary and the primary document disagree, the primary document is right.

• SEC litigation release

The linked release is a work of the United States government and is not subject to copyright. Our summary and narrative above are our own writing.

Same matter

The library links these 2 records because they appear to concern one matter: the same lead defendant, an overlapping technique tag and close filing dates, or a shared court docket or a release that cites the other. Records are listed by date filed.

This grouping is the library's, made by matching names, techniques, dates and citations when the site is built. It is not the regulator's or a court's determination that the records are one case, and it errs towards missing a link rather than making a false one.

Related actions

Other actions in the library sharing at least one technique tag with this one.

Record added September 10, 2026. submit a correction.