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By Ginger Szala |
May 23, 2013
A running list of regulatory and enforcement actions from around the trading industry.
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By Press Release |
May 6, 2013
Court enters order freezing Defendant’s assets and protecting books and records.
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By Ginger Szala |
May 1, 2013
The name Jon Corzine still puts the futures industry’s teeth on edge. And the reaction seems stronger than some other names that have roiled their spheres of influence.
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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 Ginger Szala |
April 24, 2013
The name Jon Corzine still puts the futures industry’s teeth on edge. And the reaction seems stronger than some other names that have roiled their spheres of influence.
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By Whitney Kisling and Lindsey Rupp, Bloomberg |
March 25, 2013
Regulators cleared Nasdaq OMX Group Inc.’s plan to pay $62 million to compensate brokers for its mishandling of Facebook Inc.’s public debut, dealing a defeat to Wall Street firms that say they lost many times that amount.
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By Patricia Hurtado, Bloomberg |
March 25, 2013
Rengan Rajaratnam, the younger brother of imprisoned hedge-fund founder Raj Rajaratnam, was taken into custody by FBI agents yesterday when he arrived at John F. Kennedy International Airport on a flight from Brazil.
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By Press Release |
March 11, 2013
The Securities and Exchange Commission today charged the State of Illinois with securities fraud for misleading municipal bond investors about the state’s approach to funding its pension obligations.
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By Joshua Gallu, Bloomberg |
February 8, 2013
The U.S. Securities and Exchange Commission sued a Chicago man over claims he fraudulently raised more than $145 million primarily from Chinese investors by promising that their investments would provide a pathway to U.S. citizenship.
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By Dave Michaels |
January 26, 2013
Robert Khuzami, the SEC's enforcement chief, said the agency is focused on charging exchanges and traders when their actions allegedly harm investors.
