Search for: "Matter of Trader"
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9 Oct 2013, 8:15 am
” The court was not willing to find that “soy milk,” standing alone, was so well-known that a reasonable consumer, as a matter of law, couldn’t be confused. [read post]
13 Jan 2017, 8:07 am
We have decades of experience in securities litigation matters, including the defense of enforcement actions. [read post]
11 Jan 2011, 5:00 am
First Derivative Traders, it may well be that bad funds will make good law. [read post]
11 Jul 2010, 4:22 pm
Some hope that “radical transparency” and better reporting standards will improve matters. [read post]
12 Jan 2009, 8:58 pm
People can disagree about policy, which involve matters of opinion. [read post]
Five years of CFTC’s virtual currency enforcement activities analyzed in Cornerstone Research report
7 Aug 2020, 7:33 am
Moreover, eight of those actions involved a commodity trader allegedly failing to register with the CFTC, while four of those matters involved allegations of illegal off-exchange commodity transactions. [read post]
5 Oct 2009, 5:34 pm
Traders with that much money won’t be using Penson. [read post]
16 May 2014, 3:07 pm
On several occasions, he communicated other Nvidia private information to his friend that pertained to such matters as calculations of revenues and gross profit margins. [read post]
12 Mar 2013, 8:11 am
We are very sensitive to sentencing arguments in federal court, for we handle many similar matters. [read post]
10 May 2010, 5:00 am
” In settling this matter, Bretton neither admitted nor denied the charges, but consented to the entry of FINRA’s findings. [read post]
9 Jun 2017, 3:48 pm
Puerto Rico Bond Traders Still Find Buyers Despite Epic Collapse, Bloomberg, June 7, 2017 4 Reasons Why Puerto Rico’s ‘Bankruptcy’ Process Matters to U.S. [read post]
20 Jan 2012, 10:37 am
I don't think they (insider traders) have illusions about that anymore. [read post]
20 Jan 2012, 10:37 am
I don't think they (insider traders) have illusions about that anymore. [read post]
7 Dec 2010, 2:01 pm
Consequently, the special rules on jurisdiction in Regulation 44/2001 on jurisdiction and the recognition and enforcement of judgments in civil and commercial matters which aim to protect consumers are not necessarily triggered. [read post]
15 Oct 2014, 4:00 am
Once upon a time, Wall Street's regulators seemed to view so-called "Failure To Supervise" matters as a last resort -- the final arrow in a quiver. [read post]
8 May 2020, 6:31 am
FINRA Arbitrators Award Severance to Former Barclays Employee (BrokeAndBroker.com Blog)How Citigroup, Morgan Stanley Are Returning to Offices in Asia (Bloomberg by Cathy Chan and Alfred Liu)The Work-From-Home Trader Who Shook Global Markets / A new book reveals fresh details about the man authorities blamed for the Flash Crash that erased $1 trillion of value in a matter of minutes. [read post]
15 Sep 2020, 9:19 am
For that matter, Overstock itself issued its Preferred Digital Dividend Shares at cryptosecurities. [read post]
2 Nov 2015, 3:46 am
Notwithstanding the concerns raised about such matters as correlation and cost/benefit, traders (both professional and otherwise) dive into this trade as both a way to gain exposure to volatility and to hedge long equities positions. [read post]
9 Aug 2019, 11:47 am
FINRA Censures and Fines Member Firm for 13 Unregistered Prop Traders. [read post]
11 Sep 2020, 9:26 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5434/securities-industry-commentator/Former Foreign Exchange Trader Sentenced To Prison For Price Fixing And Bid Rigging (DOJ Release)In the Matter of the Claims for an Award in Connection with Redacted (SEC Order Determining Whistleblower Award Claim)Lucy’s Human: Remarks at Virtual Roundtable on The Role of Asset Management in ESG… [read post]
