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11 Apr 2007, 5:33 am
Former currency trader Martin Armstrong received the maximum five-year sentence for his plea to one count of conspiracy to commit securities and commodities fraud. [read post]
9 Jun 2011, 4:14 pm by Securites Lawprof
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]
2 Dec 2010, 8:36 am by By AZAM AHMED
"We're patient and picky about what we buy," says former Deutsche Bank trader about his new hedge fund. [read post]
12 May 2010, 4:52 am by By DEALBOOK
Speculation is growing among British traders that Harbinger Capital Partners, the New York hedge fund run by Philip Falcone, may make a play for Inmarsat, the U.K. satellite group, The Guardian reported. [read post]
8 Mar 2011, 5:39 am by By MICHAEL J. DE LA MERCED
Ralph Rosenberg, an Eton Park executive who made his name as a Goldman Sachs trader, has joined Kohlberg Kravis Roberts to lead its real estate efforts. [read post]
18 Jun 2012, 5:35 pm by By PETER EAVIS
Regulators are trying to clamp down on rogue traders like JPMorgan Chase's Bruno Iksil, nicknamed the London Whale, who amassed large positions in credit derivatives as part of a complex trading strategy that eventually soured. [read post]
17 Nov 2010, 2:58 am by By CHRIS V. NICHOLSON
Jerome Kerviel, the former trader who got a prison sentence and fine for making trades without Societe Generale's permission, discussed the affair with Der Spiegel. [read post]
6 Apr 2011, 7:28 am by By AZAM AHMED and BEN PROTESS
Matthew Kluger is accused of stealing private information about pending deals from his law firm, the Silicon Valley powerhouse of Wilson Sonsini Goodrich & Rosati, and sharing it with a trader. [read post]
8 Jan 2010, 1:53 am by sally
“Trafigura, the offshore oil trader that became notorious for legal attempts to suppress reporting of parliament, is going back to Britain’s judges tomorrow. [read post]
25 May 2011, 6:15 pm by By DEALBOOK
Arcadia Energy rejected the Commodity Futures Trading Commission's contention that its traders had manipulated crude oil markets in early 2008 and said it would fight the agency in court. [read post]
28 Sep 2011, 12:50 pm by By JESSE EISINGER
The news that UBS lost $2.3 billion thanks to a rogue trader comes just when regulators are trying to preserve the Volcker Rule's strongest measures and buttress weaker clauses. [read post]
14 Apr 2011, 1:41 am by By BETTINA WASSENER
Preparations for the stock market debut of Glencore International took a big step forward Thursday when the commodities producer and trader formally announced its intention to float on the London and Hong Kong stock exchanges later this year. [read post]
4 Apr 2011, 6:42 am by By DEALBOOK
The Reformed Broker blog compares the potential public offering of Glencore, the large commodities trader, with the debut of the Blackstone Group in 2007, which "marked the top" of the private equity boom "almost perfectly. [read post]
13 Jun 2019, 10:26 am by Associated Press
A judge on Thursday refused to order a new trial for a wealthy stock trader convicted of murder in the fiery death of a man who was helping him secretly dig tunnels for an underground nuclear bunker beneath a Maryland home. [read post]
1 Sep 2010, 8:47 am by Brian Wolfman
Unless I'm missing something, this CNBC report is discussing energy traders' disappointment that the two storms moving toward the East Coast are not bad enough to cause energy prices to spike. [read post]
4 Sep 2009, 4:03 am
And if the Commodity Futures Trading Commission is right, the name fit an intricate scheme that let commodity traders in Chicago working for Optiver to subtly manipulate the price of oil. [read post]
29 Sep 2010, 2:56 pm by By NELSON D. SCHWARTZ
Bank of America Merrill Lynch is laying off 20 to 30 proprietary traders, or roughly a third of its team, as it aims to comply with the Volcker Rule that restrict banks from making bets with their own money. [read post]
23 Aug 2021, 10:00 pm
A recent US Securities and Exchange Commission (SEC) settled enforcement action that found that a hedge fund acted as an unregistered “dealer” has blurred the traditional line between dealers and traders. [read post]
14 Apr 2011, 6:47 pm by rtruman
In Financial Crisis, No Prosecutions of Top Figures :: Goldman Traders Attempted to Manipulate Market :: Senate Report, Wall Street and the Financial Crisis: Anatomy of a Financial Collapse (635 page pdf) :: Footnote Exhibit Locator (at end of page) [read post]
2 Nov 2010, 4:02 am by By DEALBOOK
Goldman Sachs trader Fabrice Tourre's request to throw out the U.S. [read post]