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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]
6 Aug 2014, 7:26 am
In the Notice, FERC Enforcement alleged that Powhatan’s trader, Dr. [read post]
6 Jan 2014, 5:00 am
Pease, David Perlman and Jennifer Lias After an investigation of actions in the western electricity markets by Barclays Bank PLC (“Barclays”), Daniel Brin, Scott Connelly, Karen Levine, and Ryan Smith (collectively, the “Traders” and together with Barclays, “Defendants”), the Federal Energy Regulatory Commission (“FERC”) issued an order finding the Defendants in violation of FERC’s anti-manipulation regulations and assessing Barclays a… [read post]
26 Feb 2008, 9:03 am
Debt traders are clearly concerned: Freescale’s notes [...] [read post]
30 Sep 2013, 12:05 am
Oklahoma City Hosts Conference Today on Wills, Trusts & Estates Meets Gender, Race & Class NY Times: The Estate Tax Value of Unique Assets The IRS Scandal, Day 142 Sunday: WSJ: Investors Face Long Odds in Qualifying for 'Trader' Status... [read post]
4 Dec 2006, 6:14 am
Brokerage firm Jefferies has agreed to pay more than $10 million to settle allegations that its former star trader doled out gifts and entertainment to Fidelity Investments to win mutual-fund trading business. [read post]
6 Jul 2007, 5:04 am
Seeking to match a desire to make money with his environmental instincts, Louis Redshaw, a former electricity trader, met with five investment banks in 2004 to propose the trading of carbon dioxide. [read post]
19 Mar 2008, 3:35 pm
According to two traders quoted by Reuters, speculation that another accounting charge awaits Merrill lay under its lawsuit against XL Capital Assurance, trying to enforce the guarantee of $3.1 billion in debt issued [...] [read post]
2 Nov 2009, 2:47 am
Traders and journalists convicted of market manipulation involving more than 1,000,000 rubles may now face prison time between two and seven years, along with fines [AFP report]. [read post]
25 Jan 2008, 9:01 pm
Legal cultures respond differently to reports of wrongdoing, and the disclosure of the massive fraud in France perpetrated by a "rogue trader" identified as Jérôme Kerviel shows how different things can be. [read post]
15 Jul 2021, 11:26 am
Deed and Note Traders, LLC and 881 Home, LLC and the manager, David Kinas, Tucson, Arizona had a consumer lawsuit filed against them today alleging that they deceived consumers in real estate transactions. [read post]
24 Jan 2007, 4:02 am
The commodities market has quietly applied for "derecognition of exchange" with British regulators, traders in London said. [read post]
12 Jul 2011, 7:37 am
Two senior Democratic senators are pushing to change I.R.S. regulations that allow American traders of credit-default swaps to avoid paying federal taxes on many transactions that begin in the United States, The New York Times reports. [read post]
22 Feb 2008, 6:38 am
., said that LNG traders can make a profit of up to $21 million by diverting a standard 138,000 m3 LNG cargo from the United States to Asia. [read post]
20 Jun 2007, 4:22 am
“Most internet shoppers do not know about their right to cancel and 28% of UK-based online traders are not aware or only slightly aware of the laws applying to internet shopping, according to a report published by the Office of Fair Trading (OFT) yesterday. [read post]
21 Apr 2021, 2:30 pm
In 1616, European traders had brought yellow fever to Wampanoag territory, which […] [read post]
3 Jun 2023, 4:21 am
Traders work on the floor of the New York Stock Exchange during morning trading on May 17, 2023 in New York City. [read post]
7 Jun 2015, 9:19 pm
It is well known that British came to India to advance themselves, to establish themselves as traders and acquired […] The post Influence of English law in Indian legal system appeared first on The Lex-Warrier. [read post]
9 May 2010, 3:02 pm
Some are speculating that the latest agreement between the Eurozone partners to stabilize the Euro was sparked by fears that traders around the globe were ready to pounce on the currency. [read post]
30 Oct 2014, 10:28 am
First Derivative Traders. [read post]
