Search for: "US Trade and Exchange, LLC"
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17 Jun 2024, 9:05 pm
The cost of using a central counterparty can also be expensive from a margining perspective compared with many firms’ bilateral collateral exchanges. [read post]
17 Jun 2024, 3:16 pm
Commodity Futures Trading Commission (CFTC) announced that Trafigura Holding LLC agreed to pay $55 million to settle allegations of fraud, market manipulation, and impeding the ability of employees to blow the whistle. [read post]
13 Jun 2024, 7:17 am
The Securities and Exchange Commission today charged Joshua Goltry and his investment management firm, JAG Capital Advisors LLC (JAG Advisors), in connection with a three-year scheme to defraud investors of at least $3 million. [read post]
9 Jun 2024, 9:16 pm
Author: Luis Blanquez We recently wrote about the Federal Trade Commission’s blog post explaining how relying on a common algorithm to determine your pricing decisions might violate Section 1 of the Sherman Act. [read post]
8 Jun 2024, 11:13 am
Latency also plays a role in more mundane interactions, such as negotiating the price of a used car. [read post]
5 Jun 2024, 3:38 pm
FINRA alleged that Katz forged customer signatures on switch letters, and purportedly used discretion without authorization. [read post]
5 Jun 2024, 1:15 pm
In 2010, Trading Technologies International, Inc. [read post]
3 Jun 2024, 4:31 am
The property was apparently owned and managed through several separate entities, including Maiden Lane Holding LLC, Maiden Lane Capital LLC, and Maiden Lane Development LLC. [read post]
31 May 2024, 11:27 am
This pioneered the current SPAC structure using a PIPE investment and tender offer. [read post]
22 May 2024, 8:30 am
Without admitting or denying the SEC’s findings, ICE and its subsidiaries, consisting of Archipelago Trading Services, Inc.; New York Stock Exchange LLC; NYSE American LLC; NYSE Arca, Inc.; ICE Clear Credit LLC; ICE Clear Europe Ltd.; NYSE Chicago, Inc.; NYSE National, Inc.; and the Securities Industry Automation Corporation agreed to a cease-and-desist order in addition to ICE’s monetary penalty. [read post]
16 May 2024, 9:43 am
Recent enforcement actions by the Securities and Exchange Commission (SEC) against firms engaged in AI washing underscore the importance of transparency and accuracy in representing AI capabilities. [read post]
9 May 2024, 2:00 pm
Then they realized it was a scam that might play out by there being an exchange of bank info or something to that effect. [read post]
9 May 2024, 9:35 am
These components were intended for use in the U.S. [read post]
7 May 2024, 7:35 am
The review includes regulatory sanctions from the Financial Industry Regulatory Authority (FINRA), the US Securities Exchange Commission (SEC) and state regulators. [read post]
4 May 2024, 8:31 pm
Insight Global LLC, No. 1:21-cv-1335 (M.D. [read post]
2 May 2024, 1:20 pm
You contact us online or call us for a free consultation at 630-333-0333. [read post]
1 May 2024, 10:16 pm
December 2023: The Securities and Exchange Commission (SEC) indefinitely barred Andrew Komarow, a former LPL Financial broker, from engaging in financial activities due to a “free-riding” trading scheme. [read post]
28 Apr 2024, 8:35 am
Perhaps the biggest regulatory news of the past week came not from the FCC, but instead from the Federal Trade Commission. [read post]
24 Apr 2024, 12:17 pm
Commodity Futures Trading Commission (CFTC) has contacted a number of major banks requesting non-disclosure agreements used in their swaps and clearing businesses to see whether they restrict whistleblowing, according to reporting by Bloomberg. [read post]
23 Apr 2024, 8:38 am
DiCarlo – US Court of International Trade Lecture at the University of Illinois – Chicago Law School (FKA the John Marshall Law School). [read post]
