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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 Scott Skrym |
April 30, 2013
How can we be assured seg funds are safe? Take a page from the securities site and introduce the Tri-party system.
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By Phil Milford and Tiffany Kary, Bloomberg |
April 23, 2013
Jon Corzine, the former head of bankrupt broker MF Global Holdings Ltd., was sued by the holding company’s trustee, Louis J. Freeh, for failing in his duty to oversee the company and causing the eighth-biggest bankruptcy in U.S. history.
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By Andrew Harris, Bloomberg |
April 16, 2013
Former MF Global Inc. broker Evan Brent Dooley was sentenced to 5 years in prison for making unlawful unauthorized trades that caused the now-defunct futures firm to lose more than $141 million in 2008.
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By Tiffany Kary, Bloomberg |
April 8, 2013
MF Global Holdings Ltd. won final approval of its plan to repay creditors, paving the way for the eighth-largest bankruptcy in U.S. history to wind down under court protection.
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By Andrew Harris, Bloomberg |
March 11, 2013
International Securities Exchange is set to renew legal hostilities with Chicago Board Options Exchange Inc. in a fight over an automated trading patent.
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By Press Release |
February 4, 2013
In a parallel criminal action, the company principle is convicted on fraud charges and sentenced to 97 months imprisonment.
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By Elisa Martinuzzi |
December 19, 2012
A Milan judge convicted the banks for their role in overseeing fraud by their bankers in the sale of derivatives to the city of Milan.
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By Beth Jinks, Bloomberg |
December 19, 2012
A group including Apple Inc., Google Inc. and Research In Motion Ltd. agreed to buy patents from bankrupt Eastman Kodak Co. for about $525 million, gaining digital-imaging technology to capture and share pictures.
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By Bob Van Voris and Andrew Harris |
December 16, 2012
JPMorgan won final approval of a $44.6 million settlement of a class-action lawsuit alleging that the bank rigged bids for municipal bonds.
