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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]
22 Feb 2022, 1:56 pm
” Commodities trader Cargill Inc and Continental Grain Co announced in August that they would buy Sanderson Farms, the third largest chicken producer, and combine it with Continental’s Wayne in a deal worth some $4.53 billion. [read post]
24 Nov 2014, 7:47 am
On June 16, 2014, the SEC exercised its own anti-retaliation enforcement authority for the first time, charging a hedge fund advisory firm with retaliating against its head trader for reporting prohibited principal transactions to the SEC. [read post]
10 Aug 2010, 12:45 pm
This is the type of situation that led Wall Street traders in the know to email each other: IBGYBG – I’ll be gone, you’ll be gone – when the stuff hits the fan. [read post]
22 Jan 2010, 1:55 pm
THIS COURT ORDERS that Robert Zumbrunnen, Matt Brown and InvestorsHub.com Inc. provide the names and addresses of the following of its members and posters: Stratey, itlogic, Jim Bishop, Janice Shell, Universal Trader, Rtso, Livingstyle, Soyelpato, AccipiterO, strongtower, snow, peraire, and Fast Flyer 03, Strongtower, 1 summer, AccipiterQ, bob41, Buckley, soyelpato, greedy malone, rolltide, marine-1, firelane, (and any other poster who makes negative, libelous or defamatory statements… [read post]
21 Jan 2014, 9:20 pm
Dan Bane, Chairman and CEO, Trader Joe’s31. [read post]
1 Mar 2024, 2:13 pm
The FTC alleges likely harm to consumers in a “supermarket market” that excludes club stores (such as BJ’s and Costco), specialty grocery stores (Trader Joe’s and Aldi), and online retailers (Amazon and others). [read post]
9 Jul 2012, 3:59 pm
But "self-discipline" is precisely the quality you will not find in the compulsive devoted day-trader: rather, self-discipline is precisely what keeps you away from this beguiling but lethal chimera. [read post]
11 Apr 2014, 5:00 am
Insider trading usually becomes illegal when the decision to trade in a company’s shares of stock is based upon confidential information acquired as a result of the position held by the trader. [read post]
22 Dec 2011, 2:30 am
In Nafta Traders, Inc. v. [read post]
10 Jul 2018, 8:12 am
Major retailers such as Costco, Jay C, Kroger, Payless, Owen’s, Sprouts, Trader Joe’s, Walgreens, Walmart, and Whole Foods/Amazon sold the contaminated melon between April 17 and June 7, 2018. [read post]
5 Feb 2021, 1:36 pm
There is no limited liability and as a sole trader, you are personally liable for any losses to your business. [read post]
10 Oct 2013, 7:11 am
FINRA alleges that from May 1, 2010 through September 30, 2010, JCI’s head trader Jason Barter engaged in manipulative trading of Fibrocell Science, Inc. [read post]
16 May 2008, 7:21 am
Updated: Just to clear up one possible confusion that may be afflicting some corporate readers or traders: This afternoon the Court wasis scheduled to hear oral arguments in the case In re Citigroup Global Markets, Inc., No. 08-0289, which is the pending Clear Channel merger litigation. [read post]
30 Mar 2020, 2:22 pm
Instead, they are designed to be used by traders to implement risk hedges on an intra-day basis. [read post]
24 Nov 2014, 7:47 am
On June 16, 2014, the SEC exercised its own anti-retaliation enforcement authority for the first time, charging a hedge fund advisory firm with retaliating against its head trader for reporting prohibited principal transactions to the SEC. [read post]
7 Sep 2008, 8:45 pm
In the Los Angeles Daily News, I read a similar tale of another scan against a senior citizen: "While shopping at a local Trader Joe's two months ago, a 78-year-old Sherman Oaks man was approached by a young woman with dark hair and a big smile. [read post]
27 Jul 2012, 1:00 am
This post was written on behalf of http://www.brookson.co.uk/services/sole-trader/ How to Effectively Communicate With Your Employees originally appeared on Jobsworth by Michael Scutt on 27/07/2012. [read post]
19 Aug 2010, 4:11 pm
First, greater volatility in a given market is not only a boon to traders generally, it also inflates the incentives to engage in manipulation. [read post]
20 Jul 2010, 9:57 pm
He is disappointed to learn this, since (i) the Bodurs are a lovely couple, who have espoused the small business values that successive British governments claim they support, and this appeal is depressing news for them; (ii) they have really suffered in commercial, financial and family terms through the drain on their time, physical and mental strength and emotional resources as they fight a battle that, they feel (and this Kat agrees) should never have to be fought, and (iii) are they are in… [read post]
