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22 Nov 2011, 4:41 am
Adoboli, a former UBS trader charged with fraud, could have an additional four weeks to look at evidence and get legal advice before entering a plea. [read post]
21 Nov 2011, 4:00 pm
A hedge fund sues an accounting firm for its failure to uncover a Ponzi scheme operated by one of the hedge fund’s traders. [read post]
21 Nov 2011, 12:49 pm
The SEC charged David Kugel, a longtime Bernie Madoff employee, with fraud for his role in creating fake trades to facilitate the massive Ponzi scheme. [read post]
20 Nov 2011, 6:44 pm
For the present UBS in particular, regulatory forces happen to squeeze them on two fronts – private banking and trader loss. [read post]
20 Nov 2011, 2:02 pm
The recalled romaine lettuce was sold in supermarkets under the Ready Pac, Trader Joe's, Safeway and Dining In Classic labels, and were sold in the following states: Alaska, Arizona, California, Colorado, Hawaii, Idaho, Montana, Nebraska, Nevada, New Mexico, Oregon, South Dakota, Texas, Washington and Wyoming. [read post]
20 Nov 2011, 5:57 am
The Mai Tai (of Trader Vics). [read post]
19 Nov 2011, 5:19 pm
JPMorgan unit fined $1.7M over investment sales, Bloomberg Business Week/AP, November 15, 2011 FINRA Orders Chase to Reimburse Customers $1.9 Million for Unsuitable Sales of UITs and Floating-Rate Loan Funds, FINRA, November 15, 2011 More Blog Posts: Morgan Stanley Faces $1M FINRA Fine for Excessive Markups and Markdowns on Corporate and Municipal Bond Transactions, Institutional Investor Securities Blog, September 17, 2011 Wedbush Ordered By FINRA Panel To Pay $3.5M to Trader Over… [read post]
19 Nov 2011, 12:17 pm
They are shrewd traders who have fought their way up; even those who have grown rich have never lost the poor man's feeling of vulnerability. [read post]
18 Nov 2011, 8:05 am
Trader Joe’s Romaine Salad 0013-2145 16oz. [read post]
18 Nov 2011, 4:32 am
Related Posts: Texas Supreme Court Declines to Follow Hall Street in Arbitration Case: Nafta Traders, Inc. v. [read post]
18 Nov 2011, 2:04 am
“Investment banks and financial traders in the UK must now record the mobile phone conversations of their staff following the closure of a regulatory loophole.” Full story OUT-LAW.com, 17th November 2011 Source: www.out-law.com [read post]
18 Nov 2011, 1:59 am
Trader Joe's Romaine Salad 0013-2145 NOV 18- 16oz. [read post]
17 Nov 2011, 5:16 am
Insider traders are rich because they really want to be rich (some would call this “greed”). [read post]
16 Nov 2011, 8:22 pm
I have been teaching traders to trade currency for over six years and what I have learned is this: a trader with no clear identity is a losing trader. [read post]
16 Nov 2011, 2:50 pm
Our leading edge, direct access electronic trading platform provides traders with live market data, volume price discounts, rapid order execution, and software stability, giving our traders the necessary advantages to succeed. [read post]
16 Nov 2011, 9:59 am
Where is the lecture to this board that was asleep at the wheel as it allowed its traders and others to gamble the future of the company, taking both Citgroup and the U.S. economy as a whole to the brink of catastrophe (and for the U.S. as a whole, maybe beyond the brink)? [read post]
15 Nov 2011, 11:04 pm
Worse yet, in an earlier post, Blodget dared opine that one of the alleged Congressional inside traders should "resign in disgrace": Rep. [read post]
15 Nov 2011, 8:20 pm
The Times report tracked matters involving Bank of America, which was one of a handful companies charged in 2005 with allowing traders to buy or sell a mutual fund at the previous dayandrsquo;s closing price, at a time when it was clear the price was poised to move up or down sharply. [read post]
14 Nov 2011, 12:22 pm
Cuban,[6] a district court held that a non-fiduciary could be help liable for misappropriation-based insider trading liability only where the trader had agreed both to keep information confidential and not to use the information for personal gain.[7] In doing so, the court criticized Rule 10b5-2 and held that the SEC lacked authority to adopt the rule as drafted: The court concludes that, by its terms, Rule 10b5-2(b)(1) attempts to base misappropriation theory liability on an agreement… [read post]
14 Nov 2011, 10:18 am
More broadly, the MFA noted that execution techniques have enabled investors and traders to supply markets with liquidity and have in large part replaced market makers. [read post]
