List/Grid Monthly Archives: October 2012
Citigroup Fined $2 Million for Analysts’ Leaks
Not one, but two, confidential information leaks cost Citigroup Global Markets $2 million this week. In one case, a junior analyst shared confidential information about Facebook with ...
FINRA Finally Shuts Down EKN Financial Services
EKN Financial Serivices (formerly known as Ehrenkrantz King Nussbaum Inc) had accumulated a dubious regulatory rap sheet over the years. But the Financial Industry Regulatory Agency decided ...
Nomura Fined $3.8 Million For Leaking Client Information to Traders
The Japan Securities Dealers Association fined Nomura Holdings $3.8 million, the largest fine handed down by the regulatory group in more than a decade. The fine follows disclosures ...
Fat Finger Wipes Out $58 Billion of India’s Stock Market Value
It took less than a minue for India’s Nifty Fifty Index to drop nearly 16%. And it took erroneous trades totallying only $125 million to temporarily wipe out $58 billion in ...