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14 Sep 2007, 6:19 am
The Commodity Futures Trading Commission (CFTC) may soon be an indirect supporter of efforts by Amaranth Advisors (Amaranth), Energy Transfer Partners (ETP), and trader Brian Hunter to derail the Federal Energy Regulatory Commission's (FERC) use of its expanded civil penalty authority to prosecute alleged attempts to manipulate natural gas futures prices. [read post]
1 Aug 2017, 3:00 am
Please email us if you would like us to add your event to this list **** August 2, 2017 Sponsor: NYHFR Event: From Trader to Whistleblower: How Tom Hardin Wound Up at the Center of Galleon’s Insider Trading Case Location: New York, NY August 15, 2017 Sponsor: 100WiF Event: Education Session No. 747: A Discussion with Marc Desmidt, CEO of Point72’s International Businesses Location: Singapore August 15, 2017 Sponsor: 100 WiF Event: Sip and Shop Event to Benefit NAMI Location:… [read post]
21 May 2012, 9:44 am
If Greece does end up leaving the single currency, derivatives traders doing business there may experience significant losses. [read post]
14 Nov 2008, 1:57 pm
Managers can limit the number of layoffs by getting rid of higher paid bankers and traders. [read post]
14 Sep 2021, 6:11 am
In today’s world of algorithmic traders, machine learning, and robo-advisors, a list of a company’s shareholders doesn’t exactly get the blood pumping. [read post]
8 May 2008, 1:41 pm
FINRA fined the firm $750,000 for its role in a trade-allocation scheme by its former head trader, Alexis Rivera, as well as for various violations including anti-money laundering compliance, reporting, supervisory issues, and record-keeping issues. [read post]
23 Feb 2010, 5:15 pm
Trader Joe’s Chocolate Chip Chewy Coated Granola Bars have already been the subject of a voluntary recall because they could be contaminated with salmonella, an organism which can cause serious and sometimes fatal infections in young children, frail or elderly people, and others with weakened immune systems. [read post]
6 Jan 2019, 7:31 am
First Derivative Traders, 564 U.S. 135 (2011). [read post]
4 Oct 2012, 11:25 am
The voluntary withdrawal of salmonella-corrupted peanut and almond butter is extending beyond Trader Joe's. [read post]
21 Aug 2011, 6:40 am
First Derivative Traders confirmed prior Court decisions regarding Rule 10b-5 of the Securities Exchange Act of 1934: Intermediaries in securities transactions could not be found liable for the issuer’s or seller’s violation of that rule. [read post]
8 Oct 2015, 12:16 pm
Quarterly reports are said to push management to forgo attractive long-term projects to meet the expectations of investors and traders who want smooth, rising earnings from quarter to quarter. [read post]
23 Jan 2011, 7:24 am
After all, they're a brash, trash talking, media hogging perpetual underdog team that should remind traders of themselves, and well they might. [read post]
2 Nov 2011, 9:09 am
Investors or traders may be able to recover their losses through securities arbitration or litigation. [read post]
23 May 2012, 7:14 pm
(“Goldman”) where Goldman agreed to pay a $10 million and halt a practice referred to as “huddles” between traders and research analysts and the alleged practice of providing certain Goldman clients with special access to the firm’s stock analysts and information and short-term tips that other clients didn’t receive.In April of this year, the SEC and FINRA followed the lead of Massachusetts and entered into a SEC Consent Order and Acceptance Waiver… [read post]
26 Sep 2011, 9:32 am
Aug. 31, 2011) SeekingAlpha is a message board for stock traders. [read post]
27 Apr 2016, 6:01 am
Proponents of hedge funds view them as informed traders who improve market quality and corporate governance. [read post]
14 Apr 2019, 7:04 am
First Derivative Traders, 564 U.S. 135 (2011) can nonetheless be held primarily liable under Section 10(b) of the Exchange Act and Rules 10b-5(a) and (c) thereunder for knowingly “disseminating” a misstatement made by another person. [read post]
14 Feb 2022, 6:05 am
The new directors—typically former bankruptcy lawyers, investment bankers, or distressed debt traders—either receive the board’s power or become loud voices in the boardroom shaping the company’s bankruptcy strategy, including investigating self-dealing claims against shareholders. [read post]
20 Mar 2008, 12:29 pm
., Trader Joe's, Costco Wholesale Corp., Whole Foods Market Inc., Bristol Farms Inc., Ocean Beauty Seafoods Inc., and various subsidiaries. [read post]
18 Feb 2009, 6:25 am
The trial involved a bond trader who was walking through Ogilvie Train station in Chicago and slipped and fell on water. [read post]
