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7 Nov 2012, 12:33 pm
As the New York Times reports (see here), once again a trader has apparently taken an enormous bet with his employer's money and lost, thereby costing his employer, a small Connecticut brokerage firm, millions of dollars and threatening its continued... [read post]
18 Dec 2012, 11:12 am
The SEC charged Biremis, a Toronto-based brokerage firm, and its top two executives for failing to supervise overseas day traders who used the firm’s order management system to engage repeatedly in a manipulative trading practice known as layering. [read post]
26 Sep 2010, 9:00 pm
The court holds that NYU did not breach an implied contract by withholding MBA from a confessed inside trader. [read post]
10 Aug 2007, 5:00 am
On any given day, traders are exchanging rumors of a hedge fund that has blown up or a Wall Street brokerage firm that has incurred losses [...] [read post]
5 Mar 2021, 7:21 am
Indeed, many of these traders have publicized that they are buying... [read post]
8 Dec 2010, 7:21 am
First Derivative Traders, 566 F.3d 111 (4th Cir. 2009) and once again dealt with the difficulty issue of distinguishing primary and secondary liability under Rule 10b-5.... [read post]
7 Nov 2007, 4:49 am
Jabre Capital, the hedge fund group founded by a former trader at GLG Partners, is raising a new 500 million euro ($728 million) fund. [read post]
9 Jul 2010, 4:10 am
Citigroup's Asia energy-trading team is expanding by hiring at least another five staff, including two traders, and has also ventured into physical oil trading in the past 12 months, Reuters reported, citing industry sources. [read post]
19 May 2010, 2:34 am
More than 80 independent oil and gas producers have sued units of Goldman Sachs and BP, alleging they conspired with SemGroup to defraud the plaintiffs of money owed for oil and gas delivered prior to the energy trader's 2008 bankruptcy, Reuters reported. [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]
9 Jul 2012, 12:00 pm
Passport, by Lynnley Browning: Denise Rich, the wealthy socialite and former wife of pardoned billionaire trader Marc Rich, has given up her U.S. citizenship -- and, with it, much of her U.S. tax bill. [read post]
31 Mar 2008, 5:13 am
“Lawyers across the City have been sifting through traders’ e-mails and listening to recordings of their phone conversations in an attempt to piece together thousands of financial transactions. [read post]
20 Mar 2009, 6:11 am
Catherine Tsai, Houston Chronicle, Nacchio prison term delayed; tests show no cancer Mark Hamblett, NYLJ, law.com, Madoff's Attorney Faces Tough Questions in Bail Appeal Chris Reinolds, AJC, Alpharetta currency trader charged in Ponzi scheme - CRE Capital founder set to... [read post]
11 Mar 2009, 8:34 am
Merrill Lynch will pay $7 million as part of a settlement with the Securities and Exchange Commission over the use of squawk boxes, the intercom systems that sit on the desks of traders, brokers and salespeople and are commonly used to bark out orders and other internal communications. [read post]
15 Dec 2008, 3:54 pm
Madoff, the veteran trader and sought-after money manager who was arrested late last week for allegedly running [...] [read post]
20 Jul 2011, 3:55 pm
The SEC announced its agenda for an Open Meeting on July 26, 2011: Item 1: The Commission will consider whether to adopt Rule 13h-1 and Form 13H under Section 13(h) of the Securities Exchange Act, to establish a large trader... [read post]
11 Dec 2007, 5:32 pm
Ordinary day traders now have... [read post]
24 Nov 2020, 1:56 pm
Traders were also encouraged to see that Biden had selected ... [read post]
14 May 2012, 3:05 am
Stung by a huge trading loss, JPMorgan Chase will replace three top traders starting on Monday, including Ina Drew, one of the top women on Wall Street, Nelson D. [read post]
19 Feb 2007, 9:44 pm
In yet another example of the wide disparity between those who went to trial and those who cooperated and plead guilty in Enron related cases, CNN Money reports that two former energy traders received sentences of two years probation and... [read post]
