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20 Jun 2019, 8:35 am
The Securities and Exchange Commission today announced charges against five foreign traders for executing illegal matched trades in the stock of Medico International, Inc. [read post]
2 Apr 2013, 6:00 am
Canellos, Acting Director of the SEC’s Division of Enforcement.Sanjay Wadhwa, Senior Associate Director of the SEC’s New York Regional Office, added, “Company insiders who reveal confidential information and the traders who trade on it can expect robust scrutiny from the SEC. [read post]
25 Nov 2013, 11:12 pm
Traders who sell music and movies it the markets criticized the program for not allowing enough time for them to sell off their old products. [read post]
25 Aug 2016, 12:43 pm
But the court observed that economic regulations are subject to a less stringent void-for-vagueness inquiry, which depends on the context of the specific case at hand and not a hypothetical trader. [read post]
19 Nov 2012, 1:27 am
Some of Barclays’ traders allegedly induced the bank to underreport its rates to benefit the bank’s own financial positions. [read post]
Five years of CFTC’s virtual currency enforcement activities analyzed in Cornerstone Research report
7 Aug 2020, 7:33 am
By Brad Rosen, J.D.The CFTC has brought 19 enforcement actions against various virtual currency market participants, including traders, issuers, exchanges, and service providers from January 2015 through June 2020. [read post]
4 Jan 2022, 2:56 pm
VIP Traders is facing penalties associated with violations related to certification labels placed on vehicles, vehicle certifications submitted to the NHTSA and the mandatory waiting period. [read post]
1 May 2023, 6:06 am
Research shows, DERA says, that opportunistic traders may buy stock of the target issuer just prior to Schedule 13D filings. [read post]
12 Oct 2023, 12:33 pm
When Hammer returned from leave, she learned the brand new store did not have a dedicated lactation space. [read post]
19 Jun 2012, 10:42 pm
Reports of dry soil and stressed crops throughout the Cornbelt spurred the commodity traders into a bullish attitude Tuesday with a 26¢ increase in new crop corn and a 40¢ to 48¢ increase in soybeans. [read post]
30 Sep 2011, 5:00 am
First Derivative Traders. [read post]
28 Oct 2024, 9:05 pm
Our findings suggest that large volumes on dark markets are unlikely to impede price discovery, as informed traders tend to trade on exchanges to avoid missing profitable opportunities. [read post]
25 Feb 2013, 6:00 am
David has been a contractor, subcontractor, trader and project manager throughout his years in the construction industry. [read post]
4 Nov 2014, 6:31 pm
In 2002, Congress passed the Sarbanes-Oxley Act in the wake of the collapse of Enron Corporation, once the world’s largest energy trader. [read post]
24 May 2017, 3:38 pm
Traders & Gen. [read post]
4 Apr 2012, 10:50 pm
There were both bullish and bearish headlines in the March 30 Grain Stocks reports, but the market climbed substantially prior to the weekend as the concept of tight supplies of corn for the balance of the marketing year consumed traders. [read post]
29 Oct 2012, 10:06 am
District Judge Jed Rakoff sentenced Rajat Gupta to 24 months after he was found guilty by a jury of one count of conspiracy and three counts of substantive securities fraud, in connection with providing material non-public information to convicted inside trader Raj Rajratnam. [read post]
9 Jan 2011, 5:53 am
Lorand Bartels and Christian Haeberli have an interesting article on GSP in the latest edition of the JIEL, in which they propose two ways "to increase the security and predictability of these preferential schemes, permitting decisions by investors and traders to be taken without fear of an arbitrary withdrawal of preferences. [read post]
26 Mar 2012, 3:50 pm
The uproar over the recent op-ed piece by former Goldman Sachs derivatives trader Greg Smith in The New York Times has drawn attention to the special challenges of dealing with current or former employees who believe that they are whistleblowers. [read post]
28 Oct 2009, 4:00 am
This is the sad tale of Rodney Schoemann, a professional stock market trader. [read post]
