Search for: "The Trader"
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20 Dec 2006, 5:06 am
A Russian trader, operating through an Estonian brokerage firm, found a simpler way to pump and dump stocks, the Securities and Exchange Commission said Tuesday. [read post]
30 Jun 2007, 12:34 pm
Ten-ounce bags of Trader Joe's brand diced onions could be contaminated with Listeria monocytogenes, the U.S. [read post]
8 Sep 2022, 10:00 pm
Partners Jason Frank and Billy Wong authored an article for Law360 discussing the consultation paper issued by the Securities and Futures Commission of Hong Kong on proposed enforcement-related amendments to the Securities and Futures Ordinance and the implications for foreign traders. [read post]
15 Sep 2010, 3:01 am
“A rogue trader has been jailed for more than five years in what is thought to be the longest term handed out for a trading standards prosecution. [read post]
29 Jan 2013, 1:05 pm
The SEC charged Firas Hamdan, a day trader in Sugar Land, Texas, with "affinity fraud. [read post]
17 Jan 2013, 11:10 am
The SEC settled charges against Eric Rogers, a former proprietary trader at the now-defunct registered broker-dealer Spectrum Trading, LLC. [read post]
28 Oct 2010, 11:34 am
The SEC charged two foreign currency traders and their Boston-based company with operating a fraudulent scheme in which they sent investors misleading account statements while stealing their funds and incurring major trading losses. [read post]
8 Sep 2022, 10:00 pm
Partners Jason Frank and Billy Wong authored an article for Law360 discussing the consultation paper issued by the Securities and Futures Commission of Hong Kong on proposed enforcement-related amendments to the Securities and Futures Ordinance and the implications for foreign traders. [read post]
8 Sep 2022, 10:00 pm
Partners Jason Frank and Billy Wong authored an article for Law360 discussing the consultation paper issued by the Securities and Futures Commission of Hong Kong on proposed enforcement-related amendments to the Securities and Futures Ordinance and the implications for foreign traders. [read post]
13 Sep 2010, 1:06 pm
Trillium, through nine proprietary traders, entered numerous layered, non-bona fide market moving... [read post]
13 Sep 2007, 1:41 am
“A City trader has won the backing of the equality watchdog in her £1.35 million claim against a bank that she accuses of discriminating against her when she returned to work after having a baby. [read post]
8 Sep 2022, 10:00 pm
Partners Jason Frank and Billy Wong authored an article for Law360 discussing the consultation paper issued by the Securities and Futures Commission of Hong Kong on proposed enforcement-related amendments to the Securities and Futures Ordinance and the implications for foreign traders. [read post]
13 Sep 2010, 1:06 pm
Trillium, through nine proprietary traders, entered numerous layered, non-bona fide market moving... [read post]
8 Sep 2010, 4:43 pm
The financial press is reporting that UK's Financial Services Authority (FSA) and Goldman Sachs have agreed to settle charges that Goldman failed to disclose that its trader Fabrice Tourre was under SEC investigation when he relocated from New York to... [read post]
3 Sep 2010, 3:14 am
The OGI Global Macro Fund, run by former Lehman Brothers Holdings proprietary trader Allan Bedwick, is set to double assets to about $100 million this month after outperforming hedge-fund peers globally, Bloomberg News reported. [read post]
8 Sep 2022, 10:00 pm
Partners Jason Frank and Billy Wong authored an article for Law360 discussing the consultation paper issued by the Securities and Futures Commission of Hong Kong on proposed enforcement-related amendments to the Securities and Futures Ordinance and the implications for foreign traders. [read post]
15 Apr 2013, 1:06 pm
The SEC charged David Miller, a former institutional sales trader at Rochdale Securities, a Connecticut-based brokerage firm, with scheming to personally profit from placing unauthorized orders to buy Apple stock. [read post]
8 Sep 2022, 10:00 pm
Partners Jason Frank and Billy Wong authored an article for Law360 discussing the consultation paper issued by the Securities and Futures Commission of Hong Kong on proposed enforcement-related amendments to the Securities and Futures Ordinance and the implications for foreign traders. [read post]
4 Dec 2006, 4:44 am
The Securities and Exchange Commission asked a federal court to force the parents of a former Fidelity Investments trader to cooperate in an investigation of whether they bought stock based on nonpublic information from their son. [read post]
9 Mar 2010, 2:58 pm
The SEC filed charges against a former securities lending, or "stock loan," trader for participating in a long-running cash kickback scheme involving stock loan transactions at several major Wall Street brokerage firms. [read post]
