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16 Sep 2011, 6:41 pm
British regulators want to know why the Swiss bank failed to detect the huge losses that a trader was piling up. [read post]
1 Feb 2008, 8:33 am
When Jérôme Kerviel was first identified as the rogue trader at Société Générale last week, it seemed no one wanted to be his friend. [read post]
18 Jul 2011, 11:33 am
Vincent McCrudden, a former trader, pleaded guilty to charges that he threatened to kill more than 40 current and former regulatory officials, including Mary Schapiro of the S.E.C. and Gary Gensler of the C.F.T.C. [read post]
17 Jul 2012, 1:34 pm
The SEC announced that two options traders whom the agency charged earlier this year with short selling violations have agreed to pay more than $14.5 million to settle the case against them. [read post]
14 May 2010, 10:32 am
A big mystery seller of futures contracts during the market meltdown last week was not a hedge fund or a high-frequency trader as many have suspected, but the money manager Waddell & Reed Financial, according to a document obtained by Reuters. [read post]
22 Nov 2011, 4:41 am
Adoboli, a former UBS trader charged with fraud, could have an additional four weeks to look at evidence and get legal advice before entering a plea. [read post]
14 Apr 2010, 12:44 pm
The SEC today voted to issue a proposal to establish a large trader reporting system, and separately proposed to put in place two investor protection measures in options markets that currently exist in stock markets. [read post]
4 Apr 2012, 4:56 am
Alex Hope, 23, a trader who once spent $200,000 on a single bottle of champagne, has been arrested by British authorities in connection with an unauthorized foreign exchange trading scheme, City A.M. reports. [read post]
6 Jun 2013, 10:40 am
This came across the Twitter-machine while I was sitting in the 8th Annual Carroll School Finance Conference this morning: The Securities and Exchange Commission today announced an emergency court order to freeze the assets of a trader in Bangkok, Thailand,... [read post]
9 Mar 2010, 2:31 pm
A former stock loan trader at Morgan Stanley and Bank of America in New York received well over $100,000 of cash kickbacks by steering orders to other brokerage firms, the Securities and Exchange Commission said in a lawsuit filed Tuesday. [read post]
3 Feb 2012, 5:22 am
Adoboli, the former UBS trader charged with false accounting related to the $2.3 billion trading loss, was denied bail by a London court on Friday, the same day regulators opened a formal investigation into the scandal. [read post]
15 Dec 2020, 10:00 pm
Traders selling goods, services, and/or digital content online to consumers in the United Kingdom and the European Union need to comply with laws requiring the provision of certain information as part of the sales process. [read post]
23 Jun 2010, 3:48 am
A former trader at AKO Capital, a London hedge fund, must pay about $421,000 in fines and restitution after being the first person to plead guilty to insider-trading charges in the United Kingdom, Bloomberg News reported. [read post]
15 Sep 2011, 5:02 am
The UBS employee follows a long line of rogue traders. [read post]
19 May 2010, 2:59 am
Financial chaos is about to hit the world's second-largest government bond market, traders were saying as they responded to the German ban Tuesday, The Telegraph reported. [read post]
24 Jul 2009, 4:20 am
A ban on "naked" trading in the $26.4 trillion credit-default swaps market being considered by U.S. lawmakers would have the unintended consequence of making it more expensive for companies to borrow, traders said. [read post]
27 Mar 2010, 9:46 pm
Day traders are still out there, betting that they can beat the odds and make money. [read post]
5 May 2009, 2:30 pm
A day trader involved in the insider trading case against the husband of former public relations executive Nina Devlin pleaded guilty on Tuesday to making millions of dollars trading on confidential information about pending mergers. [read post]
28 Jul 2012, 11:14 am
On July 27 the SEC obtained an emergency court order to freeze the assets of traders using trading accounts in Hong Kong and Singapore to reap more than $13 million in illegal profits by trading in advance of this week’s... [read post]
7 Jun 2010, 4:30 am
Julian Barnett, a former star trader at London hedge fund Polar Capital, has raised almost $200 million for his own venture, Ridley Park Capital, The Financial Times reported. [read post]
