Search for: "Matter of Trader"
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9 Oct 2017, 3:16 pm
Ambassador Bass adds that, “at this time we cannot predict how long it will take to resolve this matter. [read post]
16 Aug 2019, 11:48 am
There are two possible outcomes: if the trader’s prediction is correct, they receive a set amount of cash; if they are incorrect, they get nothing. [read post]
13 May 2008, 1:22 pm
He is thinking about the trader he fired at the bank only this morning. [read post]
30 Jul 2012, 10:53 am
To make matters worse for the alleged insider traders, the SEC has frozen all proceeds from the Nexen trades, not just the profits from the last few weeks. [read post]
27 Oct 2017, 4:04 am
However, in considering damages, Davidson found “the truth of the matter is that no one knows how the arbitrators [in the FINRA action] came up with their number. [read post]
19 Apr 2011, 9:57 am
Such a rule would destroy the incentives of analysts and traders to do research. [read post]
9 Apr 2024, 3:12 am
Here’s SEC Director of Enforcement Gurbir Grewal’s statement on the jury’s decision: “As we’ve said all along, there was nothing novel about this matter, and the jury agreed: this was insider trading, pure and simple. [read post]
8 Mar 2011, 8:46 am
It just seems so far-fetched as a practical matter, and so easily rebutted in terms of the substance. [read post]
2 Jul 2012, 2:36 am
Tone at the Top does matter and it all starts there. [read post]
21 Nov 2010, 10:39 pm
Larry Ribstein notes: The WSJ has breathlessly reported: Federal authorities, capping a three-year investigation, are preparing insider-trading charges that could ensnare consultants, investment bankers, hedge-fund and mutual-fund traders, and analysts across the nation, according to people familiar with the matter. [read post]
31 May 2017, 3:34 am
This blog by Kevin LaCroix explains why program structure matters & how competing interests affect coverage decisions. [read post]
1 Feb 2012, 9:07 am
At the time, the bank hadn’t disclosed the names of the traders. [read post]
18 Jun 2020, 9:08 am
Under New Jersey law, though, as long as Conte’s agrees to a reservation of rights, the potential conflict shouldn’t matter. [read post]
24 Oct 2016, 9:30 pm
Over the past decade, they have made headlines for their ability to cause billions of dollars to dissipate and reappear within a matter of hours. [read post]
18 Jun 2020, 9:08 am
Under New Jersey law, though, as long as Conte’s agrees to a reservation of rights, the potential conflict shouldn’t matter. [read post]
18 Jun 2018, 4:00 am
As we can gather from a 2014 study published by the French justice department, this is the same satisfaction rate as that registered overall for civil matters (excluding divorces) that appear before the courts of that country. [read post]
1 Oct 2008, 11:29 pm
The first matter is the potential liability arising out of knowingly spreading these false rumors. [read post]
3 Jan 2008, 6:20 pm
So no matter how hard Americans work, no matter how innovative and creative we are, no matter how superior our products are, we suffer from a built-in competitive disadvantage simply because of our tax system. [read post]
28 Feb 2011, 5:40 pm
I say most economists, because here and there one can find some who do seem to worry about how fellow Americans fare in the matter of free trade. [read post]
10 Jul 2018, 3:57 am
FINRA MATTERS Enforcement FINRA Suspends a Member for Failure to Disclose Outside Business Activity. [read post]
