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27 Apr 2012, 5:56 am
I highly recommend the Coffee Trader (about the attempt of a Jewish merchant in 15th century Amsterdam to corner the new European market in coffee), The Whiskey Rebels (an engrossing story set in post-revolutionary Philadelphia, New York, and Pittsburgh, involving all of the monumental figures of the day engaged in an epic battle over the financial fate of Hamilton’s Bank of the U.S. and of the new republic, exposing their very human motivations – greed, lust, honor, etc. [read post]
27 Apr 2012, 5:41 am
iStock Insider trading: U.S. prosecutors and securities regulators are investigating whether a senior Goldman investment banker, Matthew Korenberg, gave Galleon Group hedge-fund traders advance word of pending health-care deals. [read post]
26 Apr 2012, 1:44 pm
” Alderson drew a comparison to the case of Chinese-Australian iron ore trader Stern Hu, who in 2010 began a 10-year jail sentence in China for corruption after his employer, Australian mining giant Rio Tinto, appeared to some to get the better of a Chinese state-run mining competitor on prices for the commodity used to make steel. [read post]
26 Apr 2012, 8:00 am
Earle and the other traders), the SEC used other traders' notes along with those of Mr. [read post]
26 Apr 2012, 5:56 am
The quotes, instead, came from David Lee, a former senior commodities trader at the bank’s BMO Capital Markets Corp. unit, prosecutors said. [read post]
25 Apr 2012, 2:09 pm
A deal lawyer, a trader and their middleman who carried out a insider trading scheme that lasted decades and included the use of code names and disposable cellphones settled charges on Wednesday. [read post]
25 Apr 2012, 12:04 pm
Robinson, to Garrett Bauer, a former trader who also pleaded guilty to criminal charges last year. [read post]
25 Apr 2012, 8:00 am
OCIE had reports of unauthorized trades and rogue trading by traders, portfolio managers, brokers and others. [read post]
25 Apr 2012, 7:18 am
This exercise must be a worthwhile one, whether it leads to new legislation, to more self-control on the part of traders or merely to the IPKat managing not to put the wrong product into their supermarket basket [Merpel, who never admits to making mistakes, always maintains she meant to buy the look-alike product in the first place ...]. [read post]
25 Apr 2012, 4:34 am
Companies Get Some "Larger Trader Rule" Relief from SEC Last year, I blogged about how Section 13(h) of the '34 Act was amended by Dodd-Frank to include "large trader" reporting requirements and that the SEC's final rules to implement this Section didn't include an exception for operating companies that trade as part of ordinary course balance sheet management activities. [read post]
24 Apr 2012, 9:33 pm
To distinguish permissible from impermissible trading, the Dodd-Frank Act appears to require an examination of the trader’s intent, but as other roundtable participants noted, regulators lack the ability to monitor traders’ brains to discern their intent. [read post]
24 Apr 2012, 8:12 am
The rules are designed to enable institutional traders to continue to execute large orders with minimal market impact, while ensuring investors with smaller orders receive meaningful price improvement when they trade with dark orders. [read post]
24 Apr 2012, 8:08 am
The group filed a friend-of-the-court brief on Monday defending the CFTC, which finalized a rule in October to limit the number of contracts a trader can hold in gold and other commodities. [read post]
24 Apr 2012, 1:19 am
Antar Recommended reading Business Insider: Here's David Einhorn's Presentation That Absolutely Destroys Green Mountain Coffee by Eric Platt The Long Short Trader: GAAP-uccino 1.5 Part IIa Seeking Alpha: My Notes From The Green Mountain Class Action Lawsuit by Yaron Ron Reuven Disclosure I am a convicted felon and a former CPA. [read post]
23 Apr 2012, 2:38 pm
Regulators are now required to prove only that traders acted "recklessly"; previously they had to prove that they intended to manipulate prices.The Wall St. [read post]
23 Apr 2012, 6:25 am
In Europe, the European Commission is proposing to regulate the activities of a wider range of commodity derivatives traders through amendments to MiFID. [read post]
23 Apr 2012, 5:00 am
., son in Madoff feeder fund case by Eric Convey in Boston Business Journal SEC Says Boston Men Who Fed to Madoff Will Pay $4.8 Million By Joshua Gall in Bloomberg SEC fines MIT prof and son $5M in hedge fund fraud by Ira Kantor in the Boston Herald Who are these emerging hedge fund traders? [read post]
20 Apr 2012, 6:36 am
If no delivery is made by that time, the trader must purchase or borrow the securities to close out the failure-to-deliver position by no later than the beginning of regular trading hours on the next day (T+4). [read post]
19 Apr 2012, 6:43 am
The risk was that analysts could share material, nonpublic information about upcoming changes to their published research with clients and the traders. [read post]
19 Apr 2012, 5:00 am
First Derivative Traders. [read post]
