List/Grid Tag Archives: featured

barclays

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 ...
pwclogo

FDIC Files Lawsuit Against Colonial Bank’s Auditors

Colonial Bank was the largest bank failure of 2009. Colonial had a lot of competition in a year that claimed 140 banks. But Colonial had help, having purchased roughly $1 billion ...
rochdale

Rochdale Loss Blamed on “Rogue” Trader

A trade gone wrong endangers an investment company. In a world of high-speed trades and limited controls, this sadly isn’t news. It seems even large investment firms are just ...
Citi_logo

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 ...
ekn

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

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 ...
niftyflash

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 ...
mllogo

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 ...
holdbros

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 ...
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