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30 Aug 2016, 12:27 pm
Traders have to work hard to protect their reputations because their livelihood depends on it. [read post]
11 Sep 2013, 6:28 am
Tang, a professional day trader, started...The post Man “Laps” Manhattan in 24 Minutes And Then Gets Caught By Video Surveillance Cameras appeared first on Weiss & Associates, PC. [read post]
5 Dec 2022, 3:43 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6792/securities-industry-commentator/SEC Watchdog Out Two Months After Criticizing Its Rulemaking / October report said SEC didn't even notify its managers of policy changes / Acting IG Padilla first relayed concerns to Chair Gensler in September (Bloomberg by John Holland)'Amid Stonewalling, Whistleblower Tips to SEC Dry Up' by On The… [read post]
3 Dec 2012, 5:48 pm
The 159 pages of rules spell out when the tax applies to trusts and annuities, as well as to individual securities traders. [read post]
4 Mar 2022, 10:21 am
Former Cantor Fitzgerald Trader Sues Over Wrongful Termination Involving Child Care Leave (BrokeAndBroker.com Blog)SEC Orders Whistleblower Awards for Two ClaimantsOrder Determining Whistleblower Award ClaimsSEC Charges Venture Capital Fund Adviser with Misleading Investors / Alumni Ventures Group, LLC Repays $4.7 Million (SEC Release)Former Port Orchard, Washington attorney sentenced to prison for defrauding clients / Stole money intended for a children’s hospital, then stole… [read post]
6 Sep 2022, 4:06 am
A Lack of Finality: The Trevor Saliba Saga at FINRA and the SEC (BrokeAndBroker.com Blog)Former Stockbroker Sentenced to 6 1/2 Years in Prison for $3.2 Million Investment Fraud, Cheating on Taxes and Grandparent Scam (DOJ Release)SEC Charges Perceptive Advisors for Failing to Disclose SPAC-Related Conflicts of Interest (SEC Release)SEC Denies Whistleblower Award to Claimant Citing "Potential or Theoretical Use"Order Determining Whistleblower Award Claims CFTC Charges Swap Dealer for… [read post]
29 Nov 2012, 12:13 pm
The nut butter was sold in restaurants and retailers such as Trader Joe’s, Starbucks, Whole Foods and Target stores nationwide, including several in Massachusetts, and was pulled off the shelves following the recall. [read post]
3 Dec 2021, 12:59 pm
California Court of Appeal Retains State Court Jurisdiction of BTIG Employment Retaliation Lawsuit (BrokeAndBroker.com Blog)Federal Court Sanctions Slovakian Trader and His Principals for Spoofing and Engaging in a Manipulative and Deceptive Scheme (CFTC Release)SEC Obtains Default Judgment Against Recidivist Securities Fraudster (SEC Release)Mexican Businessman Arrested for $30M Fraud Scheme (DOJ Release)Cheshire Investment Advisor Sentenced to 30 Months for Stealing More Than $600K from… [read post]
26 Oct 2015, 7:11 pm
These insider traders sold $14,249,993 of company stock last summer. [read post]
26 Jan 2021, 5:42 am
We’re going to discuss U.S. industrial policy grand strategy in light of China’s rise, what the US can expect from its allies on tech policy, as well as the “power trader” paradigm and how Albert Hirschmann’s analysis of 20th century Kaiser and Nazi trade policy helps explain China today. [read post]
6 Sep 2022, 4:06 am
GUEST BLOG: [In]Securities: Trading Cards as a Meditation: Are NFTs by Aegis Frumento Esq (BrokeAndBroker.com Blog)A Lack of Finality: The Trevor Saliba Saga at FINRA and the SEC (BrokeAndBroker.com Blog)FINRA board member's firm settles cases without disclosure of conflicts (Financial Planning by Tobias Salinger)EmpiresX Head Trader Pleads Guilty to Global Cryptocurrency Investment Fraud Scheme that Amassed Approximately $100 Million from Investors (DOJ Release)Manhattan Woman Who… [read post]
3 Nov 2017, 6:30 am
Illustrative examplesfrom late eighteenth-century records suggest that these networks competed withthe commercial networks operated by private traders serving the English EastIndia Company at the end of the eighteenth century. [read post]
18 Oct 2021, 5:13 am
What began as a grass native to Southeast Asia was picked up in Persia by Arab traders. [read post]
27 Nov 2021, 7:18 am
International Hacking Group Members Sentenced for SIM Hijacking Conspiracy That Resulted in the Theft of Millions in Cryptocurrency (DOJ Release)Individual Who Portrayed Himself as Experienced Stock Trader Pleads Guilty to Defrauding Investor / Defendant Solicited Investments, Then Stole the Money for Himself (DOJ Release)Former South Bay Executive Sentenced to Nearly Three Years in Federal Prison for Insider Trading and Securities Fraud (DOJ Release)Federal Court Orders California Forex… [read post]
4 Jul 2022, 7:46 pm
by Aegis Frumento Esq 7Cir Affirms Former Deutsche Bank Traders Chanu and Vorley's Spoofing ConvictionsUnited States of America, Plaintiff/Appellee, v. [read post]
11 Jul 2016, 9:58 am
Not exactly on topic, but funny: Trader Joe's often uses some signals about what national brands one can compare its house products to. [read post]
4 Apr 2015, 6:44 am
Dinwoodie that first appeared in Traders Magazine. [read post]
20 Nov 2012, 3:57 pm
As reported in our September 28 post, FERC initially proposed to suspend JP Morgan's market-based rate authority, considered a "death penalty" for energy traders, because JP Morgan refused to cooperate, and provided misleading information, in an investigation of JP Morgan's manipulation of certain rules of the California ISO. [read post]
18 Oct 2021, 5:13 am
What began as a grass native to Southeast Asia was picked up in Persia by Arab traders. [read post]
12 Jul 2024, 12:00 am
Make Sure You Understand the E-Visa Requirements E-visas are nonimmigrant visas designed for treaty traders (E-1) and treaty investors (E-2) from countries with qualifying treaties with the United States. [read post]
