Search for: "Matter of Trader"
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9 Jan 2011, 12:52 pm
Also, let’s be honest, no matter how compliant a company tries to be, its employees are human and people do make mistakes. [read post]
2 Jun 2010, 3:07 am
” In the Matter of Department of Market Regulation v. [read post]
4 Oct 2019, 8:38 am
(BrokeAndBroker.com Blog)Former Wall Street Trader Pleads Guilty To Running A Ponzi Scheme (DOJ Release)Gerald Lynn Bostock, Petitioner, v. [read post]
20 Jun 2020, 1:50 am
Flynn, Petitioner (Opinion on Emergency Petition for a Writ of Mandamus, United States Court of Appeals for the District of Columbia Court)Gregory Acosta Hands FINRA an Earth Shattering, Precedent Setting, Historic, Stunning Defeat (BrokeAndBroker.com Blog)Day Traders Will Have Fun Until They Get Wiped Out / A handful might get rich while almost everyone else loses (Bloomberg by Noah Smith)Defendant Charged in Fraudulent ICO Ordered to Pay $450,000 (SEC Release)SEC Awards Whistleblower… [read post]
4 Mar 2022, 10:21 am
FINRA Arbitrators Award Over $2 Million In Disputed Customer Transfer and Asset Purchase Agreement (BrokeAndBroker.com Blog)Former Cantor Fitzgerald Trader Sues Over Wrongful Termination Involving Child Care Leave (BrokeAndBroker.com Blog)New York Man Sentenced to Four Years in Prison for Role in Bank Fraud (DOJ Release)North Carolina Man Charged with Wire Fraud, Securities Fraud, and Money Laundering in Connection with Ponzi Scheme (DOJ Release)SEC Charges Previously-Barred Investment… [read post]
23 Sep 2011, 1:23 pm
As enforcement of insider trading has picked up, traders have stepped back from legal lines for fear of being investigated, leaving behind mainstays like the so-called "expert networks" that were Mr. [read post]
11 Dec 2014, 2:02 pm
We have decades of experience in securities litigation matters, including SEC and FINRA investigations, insider trading cases, securities arbitrations and class actions, nationwide. [read post]
12 Feb 2021, 11:24 am
Roisman on Contingent Settlement OffersForeign currency trader sentenced for investment fraud scheme (DOJ Release)FINRA Arbitrators Sanction Spoliation of Evidence by Industry Respondents But Voice Displeasure with Claimant's ProductionIn the Matter of the FINRA Arbitr... [read post]
10 Sep 2021, 1:27 pm
File No. 3-19228)-and-In the Matter of the Application of Alton Theodore Davis, Jr. for Review of Action taken by FINRA (Order Requesting Additional Briefing, '34 Ac... [read post]
30 Mar 2007, 9:24 am
Anyway, if you have some free legal advice thoughts to offer on this matter, we welcome them in the comments. [read post]
28 Feb 2014, 5:00 am
” Rat trader?? [read post]
21 Nov 2010, 3:32 pm
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]
6 Feb 2017, 5:00 am
Conversations also indicated that the traders knew their manipulative conduct sometimes had an adverse impact on their counterparties. [read post]
20 May 2014, 11:47 am
In a separate action concerning insider trading of GSI stock, the SEC settled administrative proceedings against two other traders who are unrelated to the Saridakis matter. [read post]
1 Apr 2024, 9:05 pm
Should they be allowed to do so, as both a doctrinal and public policy matter? [read post]
22 Jun 2016, 2:54 pm
“We will swiftly track down hackers who prey on investors as we allege Mustapha did, no matter where they are operating from and no matter how sophisticated their technology,” said Robert Cohen, Co-Chief of the SEC Enforcement Division's Market Abuse Unit. [read post]
12 Jul 2012, 6:23 am
What is LIBOR and why does it matter? [read post]
25 Oct 2022, 5:56 pm
Coin Telegraph: “…No matter how much attention the United States Securities and Exchange Commission (SEC) or Commodity Futures Trading Commission gets in the crypto industry, for individual traders and investors, it often comes down to the Internal Revenue Service’s (IRS) position — and how much tax one owes. [read post]
6 Jan 2014, 8:12 am
We have decades of experience in securities litigation matters, including the defense of enforcement actions. [read post]
9 Jan 2016, 8:18 am
We have decades of experience in securities litigation matters, including the defense of enforcement actions. [read post]
