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3 Apr 2013, 7:55 am
On March 29, the CFTC issued a no-action letter providing relief, in certain circumstances, from registration as an introducing broker or a commodity trading advisor for certain affiliates of a swap counterparty and certain employees of the affiliate. [read post]
3 Apr 2013, 6:00 am
In addition to illegally trading on inside tips, the investor was an active participant in his brother’s scheme to cultivate highly placed sources and extract confidential information for an unfair advantage over other traders. [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]
1 Apr 2013, 1:45 am
The plaintiffs – several municipalities, commodities traders and investors, bondholders and the Schwab financial firm, among many others – variously allege that suppression of the Libor benchmark reduced the amount of interest income they earned on various financial instruments. [read post]
28 Mar 2013, 2:30 pm
A common thread on both sides of the Atlantic is that, while the use of colour and design alone by a trader in a particular way can give rise to an enforceable right, the burden of proof of distinctiveness or secondary meaning is high. [read post]
28 Mar 2013, 1:47 am
In her opinion, Judge Forrest also cites at length allegations based on internal communications relating to a massive bet a Deutsche Bank trader, Greg Lippmann, had made against the very kind of RMBS that the bank was packaging and selling. [read post]
20 Mar 2013, 10:03 pm
Trader Joe’s already disallows any GE products in its Trader Joe’s-brand items, citing a common desire by customers to avoid such foods. [read post]
20 Mar 2013, 3:23 pm
The U.S. [read post]
20 Mar 2013, 3:23 pm
The U.S. [read post]
Former Futures Trader at JP Morgan Cazenove is Sentenced to 4 Years Imprisonment for Insider Dealing
19 Mar 2013, 11:24 am
Following a prosecution brought by the FSA, Richard Joseph was found guilty at Southwark Crown Court of six counts of conspiracy to deal as an insider. [read post]
15 Mar 2013, 12:31 pm
” He reminds them that “Today’s dominant classes, successors to the slave owners as well as the slave traders (English, Portuguese, Dutch, and North American), have inherited a profound scorn for the poor. [read post]
13 Mar 2013, 5:23 am
Any one trader may miss a particular announcement, or ignore it and rely on other factors when deciding whether to purchase or sell a security, but traders as a whole, who make up the entire universe of buyers and sellers, will collectively absorb material information and factor that in to their purchasing decisions, causing the stock price to go up or down in reaction. [read post]
12 Mar 2013, 3:35 pm
In the most recent compilation of immigration statistics from the 2011 fiscal year, a total of 329,230 E-2 Treaty Trader Visas were issued to investors and their spouses and children. [read post]
12 Mar 2013, 8:11 am
Although the attorney for the securities trader claimed that his client had not breached anyone's trust, one of the judges noted that the trader apparently paid kickbacks to lawyers at a large law firm in return for information on upcoming corporate acquisitions. [read post]
9 Mar 2013, 3:49 pm
A 47-year-old crewman was airlifted from 780-foot freighter HORIZON TRADER about 200 miles east of Chesapeake Bay on March 6 after Coast Guard was requested to help. [read post]
8 Mar 2013, 8:38 am
Trader Using “Free-Riding” Scheme Given $640k Judgment A district court in New Jersey entered final judgment in the SEC’s case against Scott Kupersmith. [read post]
4 Mar 2013, 8:40 am
The bill requires that high frequency traders obtain authorization, which has been unregulated up to now. [read post]
1 Mar 2013, 11:56 am
Well Advantage Limited, Certain Unknown Traders in the Securities of Nexen, Inc. [read post]
28 Feb 2013, 7:10 am
CanadaQuebec's anti-corruption sees former head of CSIS up against fraud charges, Toronto StarGamblers out $2M lose again as second court rules against them in lawsuit against casino, Calgary HeraldQuebec's language laws could affect military families unfairly, The National PostUnited StatesFederal bankruptcy judge approves liquidation plan for collapsed law firm Dewey & LeBoeuf, ReutersSupreme court divided on merchants' antitrust case against American Express, ReutersInternationalTwo former… [read post]
26 Feb 2013, 5:00 am
In the latest development in an SEC lawsuit filed Friday, February 15, U.S. [read post]
