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By Press Release |
April 29, 2013
Greenwich, Conn.-based Level Global Investors LP has settled charges its co-founder engaged in insider trading in Dell Inc. and Nvidia Corp.
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By Press Release |
April 29, 2013
Kevin McLaren and Edward Gorman sanctioned $400,000 and banned for 140 days for prearranging trades involving corn futures spreads.
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By Press Release |
April 18, 2013
CFTC orders The Linn Group, Inc. to pay $400,000 civil monetary penalty for failure to diligently supervise its officers, employees, and agents and to properly handle, monitor and report customer funds.
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By Press Release |
April 17, 2013
Federal court finds that InovaTrade orchestrated a scheme that induced more than 400 customers to deposit more than $10.6 million over a three year period.
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By Press Release |
April 16, 2013
The regulator says Merrill Lynch failed to provide customers the best execution in non-convertible preferred securities transactions.
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By Press Release |
April 16, 2013
Regulators say the OTC derivatives market is a global market and requires consistent standards in and across jurisdictions.
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By Press Release |
April 15, 2013
The SEC charged a prominent Denver-based businessman with insider trading based on information he obtained from the CEO of an oil and gas company.
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By Press Release |
April 15, 2013
A federal court order finds that Robert Cannone and National Equity Holdings fraudulently solicited $1.4 million in client funds.
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By Press Release |
April 4, 2013
The SEC has streamlined the process for rulemaking by clearing agencies that are registered with both the SEC and the CFTC.
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By Press Release |
April 4, 2013
The first phase of expanded trading hours is designed to meet demand from U.S. customers for a post-settlement trading period.
