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By Alanna Byrne |
November 2, 2012
A wrap-up of promotions and moves from around the industry.
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By Alanna Byrne |
October 19, 2012
A wrap-up of promotions and moves from around the industry
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By Press Release |
October 3, 2012
The SEC charged two hedge fund managers today with lying to investors about how they were handling the money invested in their funds.
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By Press Release |
September 27, 2012
The SEC says Goldman attempted to influence the awarding of lucrative public contracts for securities underwriting business by making undisclosed contributions to Massachusetts governor candidate Timothy Cahill.
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By Press Release |
September 27, 2012
CFTC orders JPMorgan to pay $600,000 civil monetary penalty for violating cotton futures speculative position limits.
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By Press Release |
September 5, 2012
The SEC claims that Ray Lucia Sr.'s "Buckets of Money" strategy used misleading backtesting results to attract clients under false pretenses.
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By Press Release |
July 25, 2012
Written testimony of CFTC Chairman Gary Gensler before the House Committee on Agriculture in which he discusses Dodd-Frank, Libor enforcement actions and PFGBest.
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By Press Release |
July 17, 2012
Testimony of Chairman Gary Gensler before the U.S. Senate Committee on Agriculture regarding progress in Dodd-Frank, PFGBest oversight and Libor manipulation scandal.
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By Press Release |
June 5, 2012
The CFTC says that over an 18-month period, Morgan Stanley unlawfully executed, processed and reported numerous off-exchange futures trades.
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By Press Release |
May 22, 2012
Testimony of Chairman Gary Gensler Before the U.S. Senate Committee on Banking, Housing and Urban Affairs, Washington, DC on the implementation of Dodd-Frank.
