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18 Jan 2007, 4:32 am
Knight Capital Group, the second-largest trader of Nasdaq-listed stocks, said fourth-quarter profit increased 13 percent as it handled more shares and fees rose from its Deephaven hedge funds. [read post]
5 Nov 2009, 3:49 pm
Federal prosecutors have filed criminal charges against 20 hedge fund managers, traders, corporate executives, and at least two lawyers in connection with the government's crackdown on insider-trading. [read post]
20 Feb 2008, 4:09 pm
Bennett of committing civil fraud in connection with allegations that he reported false information about the futures trader's financial health. [read post]
13 Dec 2007, 9:41 am
Moore Capital Management closed its Canadian hedge fund unit on Thursday after the business, run by former Amaranth Advisors traders, lost 15 percent on stock and convertible bond bets, Bloomberg News reported. [read post]
24 Feb 2008, 4:33 am
A Reuters' article said that the SocGen scandal was possible because traders didn't interact over lunches and the trading floor anymore. [read post]
24 Jan 2008, 3:13 pm
This massive trading fraud, announced by Société Générale earlier in the day and allegedly executed by a single rogue trader, put Barings‘ Nick Leeson to shame and sent shudders down [...] [read post]
14 Aug 2011, 8:53 pm
I was at a conference last week talking to some bond traders and they were extremely pessimistic: Italy will fail and is “unbailable,” and it’ll drag the Eurozone down with it. [read post]
11 Dec 2021, 12:46 pm
Peirce)Trader Indicted for Commodities Insider Trading Scheme (DOJ Release)CFTC Charges Puerto Rico Resident and His Firm for Misappropriation of Nonpublic Information and Fictitious Trading (CFTC Release)... [read post]
4 Sep 2013, 9:30 pm
Securities and Exchange Commission (SEC) announced settlement with Thailand-based trader accused of insider trading violations in connection with the acquisition of Smithfield's Foods.The Consumer Financial Protection Bureau (CFPB) released a bulletin notifying companies supplying information for credit reports duty to investigate consumer disputes. [read post]
1 Sep 2014, 4:01 pm
Today's post is shared from the PBS NewshourWhat do Costco, Trader Joe’s, QuickTrip and Spanish supermarket Mercadona have in common? [read post]
17 Mar 2018, 11:48 am
(Enough for a beer out of a Trader Joe's sixpack.) [read post]
26 Feb 2008, 9:03 am
Debt traders are clearly concerned: Freescale’s notes [...] [read post]
31 Jan 2022, 2:35 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6275/securities-industry-commentator/Court Finds FINRA Arbitration Process Not Fundamentally Fair (BrokeAndBroker.com Blog)CFTC Charges Texas Resident with Misappropriating Confidential Information and Participating in a Brokerage Kickback Scheme (CFTC Release)Former President of Energy Company Indicted for Commodities Insider Trading and Kickback Schemes… [read post]
2 Oct 2008, 6:38 pm
The latest glimpse into the industry’s troubles came Thursday from Och-Ziff Capital, the giant hedge fund group run by Daniel Och, a former trader at Goldman Sachs. [read post]
1 Aug 2012, 4:58 pm
First Derivative Traders. [read post]
17 Jul 2008, 12:05 pm
Coming after a week of staggering losses, the surge left many traders dizzy. [read post]
10 Feb 2021, 10:00 pm
A natural gas trader pleaded guilty in federal district court last week to conspiring to commit commodities fraud and wire fraud in an insider trading scheme over natural gas futures. [read post]
5 Feb 2008, 4:53 am
As The New York Times takes a deeper look at how the culture of risk inside Société Générale enabled rogue trader Jerome Kerviel to go undetected, other news outlets are reporting that the United States Department of Justice is looking into stock sales by a member of the French bank’s board. [read post]
25 Sep 2008, 11:05 am
In an effort to determine whether any traders were involved in abusive short selling, the Securities and Exchange Commission has ordered more than two dozen hedge funds to turn over trading information, The Wall Street Journal said citing unnamed sources. [read post]
12 Mar 2008, 4:12 am
Total Network is about VAT "carousel" or "MTIC" fraud and whether HMRC can recover lost sums in the form of damages from traders. [read post]
