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Regulation

SEC Approves FINRA Rules for Further Price Disclosure on Retail Transactions

  • The pricing disclosure would include a dealer’s mark-up and mark-down on retail‑sized transactions.
Friday, 18/11/2016 | 17:17 GMT by Aziz Abdel-Qader
Regulation

EZTD Hit with $200K Fine over Legacy Issues

  • The binary options provider has been fined by the SEC for operating in the US.
Thursday, 10/11/2016 | 22:21 GMT by Jeff Patterson
Regulation

Bank Leumi to Pay $1.6 Million for Illegal US Cross-Border Business

  • Bank Leumi provided investment advice and securities transactions without being registered.
Wednesday, 19/10/2016 | 07:20 GMT by Finance Magnates Staff
Regulation

SEC Imposes $50K Penalty on Firm for Offering Fantasy Stock Trading Game

  • Forcerank has been fined for offering an unregistered swap 'Stock Picking' game in violation of federal securities laws.
Friday, 14/10/2016 | 06:55 GMT by Finance Magnates Staff
Regulation

SEC Fines Artis Hedge Fund Over $9 Million for Insider Trading Scheme

  • Artis is well known for having co-invested in financing YouTube, before it was sold to Google for $1.65 billion.
Thursday, 13/10/2016 | 18:12 GMT by Aziz Abdel-Qader
Regulation

SEC Fines Deutsche Bank $9.5M After Improperly Disclosing Equity Research

  • Following the leaking of equity research, the regulator fined Deutsche Bank Securities $9.5M.
Wednesday, 12/10/2016 | 19:24 GMT by Jeff Patterson
Executive Moves

SEC Promotes Jane Norberg to Head Office of the Whistleblower

  • The whistleblower office has reviewed more than 14,000 tips and awarded approximately $85 million to over 30 whistleblowers.
Wednesday, 28/09/2016 | 20:51 GMT by Aziz Abdel-Qader
Regulation

UBS to Pay $15 Million Settlement Involving Retail Sale of Complex Products

  • UBS sold approximately $548 million of these volatility notes to more than 8,700 retail customers.
Wednesday, 28/09/2016 | 19:43 GMT by Aziz Abdel-Qader
Regulation

SEC Charges Blank Cheque Company Manufacturer With Fraud

  • Sheldon Rose was part of a scheme to register and sell stock in blank cheque companies disguised as promising startups.
Thursday, 22/09/2016 | 08:11 GMT by Finance Magnates Staff
Regulation

Leon Cooperman’s Hedge Fund with $5.4b AUM Charged with Insider Trading

  • Omega Advisors has sent a note to clients denying the allegations and stating that “it has done nothing improper”.
Wednesday, 21/09/2016 | 16:16 GMT by Victor Golovtchenko
Regulation

SEC: BOK Financial to Pay $1.6m for Turning Blind Eye to Investment Scheme

  • A former senior VP of the bank was also charged for alleged management failures of the bank’s corporate trust department.
Monday, 12/09/2016 | 10:16 GMT by Finance Magnates Staff
Regulation

SEC’s Whistleblower Program Crosses $100 Million Threshold

  • Since its inception four years ago, the whistleblower program has been a resounding success, rewarding over $100m.
Wednesday, 31/08/2016 | 08:57 GMT by Jeff Patterson
Regulation

SEC Pays $22m to Whistleblower in Second-Largest Amount Ever Awarded

  • The award was paid to a whistleblower who helped the SEC halt a hidden fraud at the company where he worked.
Wednesday, 31/08/2016 | 07:52 GMT by Finance Magnates Staff
Regulation

Some US Companies Employing Whistleblower Gag Orders in Bid to Prevent Leaks

  • Several companies appear to have been making deals to muzzle employees that run counter to US law.
Thursday, 25/08/2016 | 14:41 GMT by Jeff Patterson
Regulation

SEC Imposes $2.3m Fine on Wilbur Ross Firm for Non-Disclosure of Fees

  • WL Ross & Co has agreed to pay a fine to the SEC after not disclosing some of the fees it charged investors.
Thursday, 25/08/2016 | 08:08 GMT by Finance Magnates Staff
Regulation

SEC Orders Providence Financial to Stop Trading after UK Investors Lose £7m

  • The US firm has been accused of selling fraudulent securities and ordered to stop trading.
Monday, 22/08/2016 | 12:30 GMT by Finance Magnates Staff
Regulation

Deutsche Bank Whistleblower Explains Why He Refused Millions in SEC Award

  • The man who refused the third largest whistleblower award in history exposes a revolving door between Deutsche and the SEC.
Monday, 22/08/2016 | 10:50 GMT by Avi Mizrahi
Regulation

Hedge Fund Manager Charged in $100m Fraudulent Scheme with Terminally Ill

  • Lathen used the joint accounts to purchase investments and went on to redeem them early by invoking a survivor’s option.
Tuesday, 16/08/2016 | 08:53 GMT by Finance Magnates Staff
Regulation

SEC Charges Former Football Player For Running $10 Million Fraud

  • The perpetrators used the funds raised from investors to pay for personal expenses and to repay earlier investors.
Thursday, 11/08/2016 | 07:21 GMT by Finance Magnates Staff
Regulation

Committee on Capital Markets Regulation Seeks To Address Market Rigging

  • The recommendations are aimed at fixing trading problems in response to charges of a "rigged" market.
Thursday, 28/07/2016 | 16:48 GMT by Finance Magnates Staff
Regulation

SEC Fines RiverFront Investment $300,000 for Overcharging Clients

  • The firm overbilled clients on a 'wrap fees' program after trading away from the sponsoring broker.
Thursday, 14/07/2016 | 21:06 GMT by Aziz Abdel-Qader
Regulation

SEC Pushes For Broker Transparency, Disclosing Client Orders Details

  • Recent SEC proposals have focused on broker disclosure, specifically in regard to client orders and their destination.
Wednesday, 13/07/2016 | 16:45 GMT by Jeff Patterson
Regulation

SEC Adds Three New Members to its Investment Advisory Committee

  • An Ex-SEC Chair, Harvard Law professor, and AARP Executive join the SEC Committee.
Tuesday, 12/07/2016 | 14:18 GMT by Steven Hatzakis
News

Watch Out Winklevoss, SolidX Partners Want Their Own Bitcoin Trust ETF

  • Unlike the Gemini Bitcoin Trust which shifted from Nasdaq to BATS, SolidX Partners aims for the NYSE.
Tuesday, 12/07/2016 | 11:17 GMT by Avi Mizrahi
Regulation

Commissioner Voices Frustration Over Delay in SEC Proposal for T+2 Settlement

  • Concerns arise over a delay in SEC proposal to shorten trade settlement from T+3.
Friday, 08/07/2016 | 21:21 GMT by Steven Hatzakis
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