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FERC Proposes $470 Million Fine in Barclays Energy Market Manipulation Case
Fueled with trader communications that included “gonna try to crap on NP light and it should drive the SP light lower” and “fuckked with the Palo mrkt,” the ...
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 ...
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 ...
Merrill Lynch Fined $500K for Not Reporting “Problem” Brokers
Would you like to know if your broker was previously sued by a client or accused of being an ax-murderer? Under the rules of the Financial Industry Regulatory Authority (FINRA) you ...
New York Firm Fined $5.9 Million for Allowing Market Manipulation
The Securities and Exchange Commision charged New York-based broker Hold Brothers On-Line Investment Services with “allowing traders outside the U.S. to access the markets and ...