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10 Nov 2019, 9:48 pm
That is not to say that the ATTP and the broader ‘trusted trader’ agenda cannot be improved. [read post]
5 Jul 2019, 7:36 am
Rinfret, who is a former New York trader, is now also facing parallel criminal charges. [read post]
18 Nov 2017, 5:48 am
Trader Joe's is a popular grocery store taking the country by storm. [read post]
28 Aug 2013, 6:47 am
To continue reading, click: Trader Joes Sues its Own Self Proclaimed "Best Customer" for Trademark Infringement [read post]
24 May 2013, 11:36 am
The SEC announced fraud charges and an asset freeze against Daniel Bergin, a senior equity trader at Cushing MLP Asset Management, a Dallas-based investment advisory firm, who allegedly profited by placing his own trades before executing large block trades for... [read post]
23 Jan 2013, 11:30 am
Daniel Sokol Francesca Busetto (Universita degli Studi di Udine), Giulio Codognato (Universita degli Studi di Udine), and Sayantan Ghosal (Warwick) describe Noncooperative Oligopoly in Markets with a Continuum of Traders: A Limit Theorem. [read post]
5 Dec 2006, 4:51 am
The Jefferies Group, the brokerage firm, has agreed to pay about $9.7 million to settle charges that it gave $2 million worth of gifts, travel and entertainment to equity traders employed by Fidelity Investments to win business, the Securities and Exchange Commission said Monday. [read post]
6 Jul 2010, 3:47 am
Tan Maruyama, a former proprietary trader at Goldman Sachs, aims to boost assets of his new Japan-focused hedge fund, which bets on securities ranging from equities to convertible bonds, to about $114 million, Bloomberg News reported. [read post]
9 Apr 2010, 6:06 am
Traders, The Washington Post says, were smart enough to bet against the housing bubble lasting very long, and with the right financial structures, the United States could make it possible for them to bet in other ways, which would signal to policymakers that trouble is brewing somewhere. [read post]
5 Mar 2008, 12:34 am
“Traders in financial markets will have to record phone transactions and keep the recordings for six months, financial regulator the Financial Services Authority (FSA) has ordered. [read post]
28 Jan 2011, 6:46 am
The SEC today announced insider trading charges against Michael Cardillo, a former trader at the hedge fund investment adviser Galleon Management, LP, for trading ahead of September 2007 announced acquisition of 3Com Corp., and November 2007 announced acquisition of Axcan... [read post]
13 Jul 2011, 4:49 am
The SEC recently settled charges against Jennifer Kim, a former trader at Morgan Stanley & Co. assigned to the swaps desk. [read post]
17 Mar 2010, 1:56 am
The Financial Services Authority, the British securities regulator, said Wednesday that it had banned Alexis Stenfors, once a proprietary trader for Merrill Lynch's international arm, from regulated market activity, saying he had mismarked his positions while on the bank's short-term interest rate desk. [read post]
26 Jan 2012, 1:07 pm
The SEC charged a trader in Latvia for conducting a widespread online account intrusion scheme in which he manipulated the prices of more than 100 NYSE and Nasdaq securities and caused more than $2 million in harm to customers of... [read post]
4 May 2010, 4:31 am
Citigroup proprietary trader Jay Glasser quit to join Nomura Holdings, Japan's biggest brokerage, as U.S. lawmakers pressure domestic banks to stop speculating with their own capital, Bloomberg News reported. [read post]
16 Aug 2012, 5:40 am
A trader at Morgan Stanley Smith Barney blew past his $116 million trading limit to amass a $1.3 billion bet in 2009, Financial Industry Regulatory Authority records show, according to Bloomberg News. [read post]
6 Jun 2013, 1:41 pm
The SEC obtained an emergency court order to freeze the assets of a trader in Bangkok, Thailand, who made more than $3 million in profits by trading in advance of last week's announcement that Smithfield Foods agreed to a multi-billion... [read post]
23 Apr 2010, 10:01 am
“Three judges today awarded a London trader the £1.4 million bonus he was denied by his Dutch bank employers. [read post]
24 Nov 2009, 1:41 pm
The SEC announced that a federal jury in Boston returned a verdict on Nov. 20, 2009 in favor of the SEC against a former Fidelity Investments trader for insider trading. [read post]
21 Jun 2010, 2:59 pm
Hall, the former Citigroup energy trader whose proposed $100 million bonus created an uproar, has raised $1.08 billion for an offshore version of his hedge fund. [read post]
