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18 Jan 2022, 3:17 am
A Bankruptcy, a Voluntary Dismissal, and a Death (BrokeAndBroker.com Blog)Putnam County Man Pleads Guilty to Defrauding Elderly Citizens and Local Bank (DOJ Release)Needham Police Officer and Two Others Arrested for Insider Trading Scheme / Defendants allegedly profited from information obtained from public company executive (DOJ Release)SEC Charges Three Friends with Insider Trading (SEC Release)SEC Charges Two in Penny Stock Fraud Scheme (SEC… [read post]
12 Apr 2021, 9:29 am
The stock’s price surged 26 percent that day, with a trading volume of over 48 million shares. [read post]
20 Jan 2010, 9:34 pm
It's high-frequency day trading. [read post]
29 Aug 2012, 12:30 pm
Lorand posted the other day about the South Africa-Israel dispute over labelling of West Bank products. [read post]
16 Mar 2023, 7:42 am
Many of these claims also require close coordination with the banks’ auditors. [read post]
6 Apr 2016, 9:21 am
When corporate insiders trade in their own securities, they must report their trades to the SEC. [read post]
4 May 2017, 11:12 am
In Seyfarth’s second webinar in its series of 2017 Trade Secret Webinars, Seyfarth attorneys Scott Humphrey, Robyn Marsh, and Dawn Mertineit focused on trade secret and client relationship considerations in the banking and financial services industry, with a particular focus on a firm’s relationship with its FINRA members. [read post]
8 Feb 2018, 4:07 am
Banks need to establish sufficient local capabilities in areas such as pricing, trading, hedging and risk management. [read post]
3 Apr 2019, 10:47 am
Trade Representative Robert Lighthizer concluded another round of trade talks with their Chinese counterparts last week in Beijing. [read post]
31 May 2018, 8:06 am
SEC Charges Investment Banker in Insider Trading Scheme (SEC Press Release 2018-97)https://www.sec.gov/news/press-release/2018-97In a Complaint filed in the United States District Court for the Southern District of New York, the SEC charged Woojae "Stever Jung, a Vice President of Investment banking, with fraud in connection with his alleged use of his investment bank employer's confidential information to engage in insider trading… [read post]
26 Aug 2015, 12:31 pm
All it takes is to compare the contents of trade agreements with industry's wish-lists to see the extent of collusion between U.S. trade officials and industry representatives. [read post]
22 May 2012, 6:42 pm
In a letter to the Federal Reserve Board, the Securities and Exchange Commission, the Commodity Futures Trading Commission the Office of the Comptroller of the Currency Administrator of National Banks, and the Federal Deposit Insurance Commission, Senators Jeff Merkley (D-Ore.) and Carl Levin (D-Mich.) spoke out against what they are calling the current draft of the Volcker rule’s “JPMorgan loophole,” which they say allows for the kinds of… [read post]
22 Oct 2009, 10:05 pm
California Attorney General Jerry Brown announced on October 20 that the state would intervene in a qui tam suit filed against State Street Bank and Trust for defrauding the state’s pension funds (CalPERS and CalSTRS) through a secret markup for interbank foreign currency trades. [read post]
21 Sep 2012, 2:40 pm
Carbon futures linked to Californian’s cap and trade program slipped recently, but after a test auction in late August 2012, news articles reported that major banks are weighing whether to wade into the California carbon market, which experts believe could grow into a $40 billion-a-year market by 2020. [read post]
19 May 2009, 7:05 am
Last winter, the talk was all about Iceland's economic crisis, its banking collapse, and government disaster. [read post]
10 Oct 2011, 1:45 pm
However, swaps are subject to mandatory trade execution and clearing only if an exchange and clearinghouse has been approved to trade and clear the swap. [read post]
3 May 2012, 7:27 am
The Volcker Rule, named for the former chairman of the Federal Reserve, would ban banks from engaging in proprietary trading. [read post]
24 Nov 2015, 9:30 pm
According to their findings, not only were more trades placed after the meeting started, but these trades were more profitable. [read post]
1 Feb 2007, 4:50 am
The fallout from a four-year-old investigation into the U.S. mutual fund industry continues to haunt Canadian Imperial Bank of Commerce, after several former officials at the bank’s New York brokerage arm were accused Wednesday of taking part in an improper fund trading scheme. [read post]
30 Nov 2020, 7:30 am
The exemption applies to swaps entered into by certain central banks, sovereign entities, international financial institutions, bank holding companies, savings and loan holding companies and community development financial institutions. [read post]
