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13 Mar 2008, 10:57 am
Prosecutors had accused Guttenberg of selling nonpublic data from UBS stock analysts about potential downgrades and upgrades to trader to David Tavdy. [read post]
8 Sep 2008, 11:19 pm
First, hack into dozens of online traders' brokerage accounts. [read post]
14 Feb 2011, 12:51 pm
Robert Khuzami, Director of the Division of Enforcement, said that it is illegal for company insiders who moonlight as consultants to sell confidential information about their companies to traders, and it is equally illegal to buy that corruptly obtained information and trade on it. [read post]
12 Mar 2008, 5:57 pm
Prosecutors had accused Guttenberg of selling nonpublic data from UBS stock analysts about potential downgrades and upgrades to trader to David Tavdy. [read post]
16 May 2011, 11:05 am
The exception is when the trader knows the information is obtained illegally, as the jury found in the Raj trial. [read post]
7 May 2009, 4:27 pm
In the world of mutual funds, "market timing" allows a mutual fund trader to exploit lags in the updating of a fund's "net asset value". [read post]
28 Apr 2011, 9:41 pm
This might seem to be fairly mundane, but it past times traders often had to rely upon cryptic and infrequent press releases to come to similar conclusions with less degrees of certainty. [read post]
6 Jan 2011, 7:25 pm
Calling these matters “troubling” FINRA has begun to act to reassure investors that inside traders cannot skim markets or drive markets improperly. [read post]
8 Jun 2018, 12:12 pm
Wedbush also executed these trades on a separate trading platform that was not used by other traders at the firm. [read post]
24 Aug 2011, 11:20 am
The leaked information has sparked concern at the Commodity Futures Trading Commission, which is legally prohibited from releasing confidential information that identifies trader positions and identities. [read post]
17 Dec 2008, 9:47 am
The paper proposes new methods to help large numbers of consumers who have been harmed by a trader's breach of consumer law.The EC clearly feels that consumers in such a situation are not adequately protected under current legislation. [read post]
25 Jun 2012, 1:40 pm
Bank Downgrades Trigger Call for Central ClearingFollowing the downgrade of 15 major banks’ credit ratings by Moody’s, a group of proprietary traders and hedge funds has renewed its call for mandatory central clearing for OTC derivatives. [read post]
28 Mar 2018, 6:06 am
Liquidity providers, such as market makers and institutional investors, worry that an informed trader will take advantage of their lack of information. [read post]
30 Jun 2009, 6:40 am
Note the limitations: The State Council said early in April that it would allow traders in Shanghai, Guangzhou, Shenzhen, Zhuhai and Dongguan to settle their cross-border business in yuan. [read post]
15 Oct 2010, 12:00 pm
According to an article in the New York Times, a trader named Arthur Schlobohm detected a $160 million Ponzi scheme run by Trevor Cook. [read post]
2 Oct 2008, 2:43 am
CNN has an article detailing a Spanish investigation that uncovered an international network of child pornography traders. [read post]
12 May 2011, 5:03 am
Inside Trader: After lengthy deliberations, a Manhattan jury found hedge fund mogul Raj Rajaratnam guilty on all counts of conspiracy and securities fraud. [read post]
25 Jun 2012, 1:40 pm
Bank Downgrades Trigger Call for Central ClearingFollowing the downgrade of 15 major banks’ credit ratings by Moody’s, a group of proprietary traders and hedge funds has renewed its call for mandatory central clearing for OTC derivatives. [read post]
28 Jun 2012, 2:09 pm
CFTC Proposes Rules to Enhance Identification of Market ParticipantsThe CFTC today approved notice of proposed rules that would enhance its existing position and transaction reporting program by requiring the electronic submission of expanded trader identification and market participant data. [read post]
IN THE MAIL: From Dr. Adrian F. Manz, Around the Horn: A Trader’s Guide to Consistently Scoring in …
12 Dec 2010, 8:00 am
Manz, Around the Horn: A Trader’s Guide to Consistently Scoring in the Markets and Trade Secrets: Powerful Strategies For Volatile Markets. [read post]
