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By News story |
June 11, 2013
In a double boogie, the SEC fined both optionsXpress for illegal short trades and CBOE for regulatory failures.
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By Ginger Szala |
June 7, 2013
PFG's banker U.S. Bank finally gets CFTC attention, injunction
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By Press Release |
March 26, 2013
The SEC charged Matthew Teeple and a technology company executive in a $29 million insider trading case.
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By Press Release |
March 21, 2013
The SEC charged Rajarengan “Rengan” Rajaratnam for his role in the massive insider trading scheme spearheaded by his older brother Raj Rajaratnam.
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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 Press Release |
February 26, 2013
The SEC charged a pair of hedge fund managers with lying to investors about their fund’s structure and financial condition before it failed.
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By Press Release |
December 19, 2012
The U.S. Commodity Futures Trading Commission announced an Order today against UBS AG and UBS Securities Japan Co., bringing and settling charges of manipulation, attempted manipulation and false reporting of certain global benchmark interest rates.
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By Daniel P. Collins |
December 3, 2012
The CFTC announced on Monday that it has obtained a federal court order requiring MBF Clearing to pay a $650,000 civil monetary penalty for violating the Commodity Exchange Act.
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By Press Release |
November 21, 2012
The CFTC today announced the filing and simultaneous settlement of charges against Cantor Fitzgerald & Co., Inc. for failing to maintain sufficient funds in its customer segregation account for a period of three days.
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By Press Release |
November 20, 2012
In the largest insider trading case ever charged by the SEC, the regulator accuses Stamford, Conn.-based CR Intrinsic investors LLC in $276 million scheme.
