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13 Jun 2011, 7:26 am
First Derivatives Traders, Dkt. [read post]
13 Jun 2011, 7:21 am
First Derivative Traders, the Court 5-3 held that “Because the false statements included in the prospectuses weremade by Janus Investment Fund, not by JCM, JCM and JCG cannotbe held liable in a private action under Rule 10b–5. [read post]
12 Jun 2011, 11:36 am
First Derivative Traders (argued during the December sitting). [read post]
12 Jun 2011, 7:12 am
[h/t to the Legal Ethics Forum] Hot on the heels of our recent post on guarding against law firm insider trading, comes a report of another alleged incident of insider trading linked to a law firm: "SEC: California inside trader stole Abbott/AMO deal secrets from his daughter": "The SEC charges California personal injury attorney Dean Goetz with insider trading, accusing him of stealing confidential information about Abbott's 2009 buyout of Advanced Medical Optics from… [read post]
11 Jun 2011, 11:55 am
The nation’s second-largest financial redistribution in history (the largest, on a percentage basis, occurred in 1929) came in 2007 and 2008 – from small investors and their pension funds to the Street’s savvy traders who shorted them. [read post]
10 Jun 2011, 1:32 pm
First Derivative Traders, I offer a doozy: In Janus, Justice Thomas will defer to the position taken by the Securities and Exchange Commission (SEC) in its amicus brief and author a majority opinion holding that a person or company “makes” a false statement under Rule 10b-5 when “writing or speaking it, providing false or misleading information for another to put into it [e.g., a prospectus] or allowing it to be attributed to him. [read post]
9 Jun 2011, 10:00 pm
The June Supply and Demand Report shook up the market and raised the ante for corn traders by pushing new crop carryover down into the scarce supply category. [read post]
9 Jun 2011, 4:14 pm
Massachusetts Securities Division and Goldman Sachs entered a consent order in which Goldman will pay $10 million and stop its practice of "huddles" between research analysts and traders. [read post]
9 Jun 2011, 5:00 am
And although the entities that hired the alleged M&A insider traders have not been accused of wrongdoing, they will still have to confirm they have adequate controls in place to deflect future insider trading or employee misconduct. [read post]
8 Jun 2011, 9:46 am
There's a werewolf in the legal industry too busy eating your lunch to hang out at Trader Vic's. [read post]
8 Jun 2011, 9:37 am
Bart Chilton of the Commodity Futures Trading Commission contends that regulators have largely failed to police high-frequency trading despite the potential for market turmoil. [read post]
8 Jun 2011, 9:15 am
“Spoofing” occurs where a trader makes a bid or offer and cancels it before it is carried out. [read post]
8 Jun 2011, 6:26 am
For example, there is the suggestion that financial firms should be primarily equity-funded instead of debt-funded, that deposit insurance premia should be risk based, and that firms should disclose much more information about their bets publicly on a daily basis (which all large financial firms already have readily available), so that traders can become aware of systemic correlations in bets. [read post]
8 Jun 2011, 5:54 am
Secretive practices and institutions are common in contemporary finance. [read post]
7 Jun 2011, 9:56 am
The economic news is bleak. [read post]
7 Jun 2011, 9:55 am
The economic news is bleak. [read post]
7 Jun 2011, 12:21 am
CNBC: Traders Are Dumping Stocks and Buying Gold and Silver. [read post]
6 Jun 2011, 11:44 pm
So young men at college in Oxford or Cambridge were minors, and there are quite a few cases brought by outraged traders against reckless young men for things such as fancy waistcoats, and the courts had to decide whether these constituted ‘necessaries’ or not. [read post]
6 Jun 2011, 5:07 pm
Noah Freeman says he and his co-conspirators gave Winifred Jiau, a former expert network consultant, about $120,000 a year -- and lots of lobsters -- for illegal stock tips. [read post]
6 Jun 2011, 2:22 pm
However, Altman traces the trends to their logical conclusion: an “offshore migration of sophisticated” traders toward websites that, like ships that fly under a flag of convenience, allow you to “bet on the future values of thousands of stocks, stock indexes, commodities, treasury bonds, and currencies– all without holding any of the underlying securities” (194). [read post]
