Isobel Markham
August 04, 2014 | The American Lawyer
CFTC Charges Southern Trust Metals and CEO in SchemeAuthorities say the company defrauded customers out of $3.5 million in precious-metals and commodity-futures deals.
By Isobel Markham
3 minute read
August 01, 2014 | The American Lawyer
SEC Charges QSGI Execs with Misrepresenting AccountsAuthorities say officials at the Florida-based computer equipment company misrepresented the company's books to increase the amount of money they could borrow.
By Isobel Markham
3 minute read
August 01, 2014 | The American Lawyer
CFTC Investigates How Wall Street Avoids Swaps RulesJPMorgan Chase, Goldman Sachs, Bank of America, Citigroup and Morgan Stanley are asked about a tactic they use that sidesteps U.S. trading rules for overseas derivatives.
By Isobel Markham
3 minute read
August 01, 2014 | The American Lawyer
Mass. Examines how Broker-Dealers Treat SeniorsThe Massachusetts Securities Division has sent surveys to 162 broker-dealers to find out whether senior financial abuse is growing and what steps companies take to resolve problems.
By Isobel Markham
2 minute read
August 01, 2014 | The American Lawyer
SEC Appoints Associate Director in International UnitAlberto Arevalo will oversee international enforcement, supervisory cooperation and technical assistance programs.
By Isobel Markham
2 minute read
July 31, 2014 | The American Lawyer
Feds Charge Ex-Newport Securities Brokers for ChurningTheir actions virtually wiped out the capital of 24 customers, authorities say.
By Isobel Markham
3 minute read
July 31, 2014 | The American Lawyer
CFTC Fines JPMorgan $650,000 for Inaccurate ReportingThe agency says that the bank's brokerage unit repeatedly filed "large trader" reports with numerous errors about clients' futures and options trades.
By Isobel Markham
2 minute read
July 31, 2014 | The American Lawyer
UBS, Deutsche Bank Disclose Regulatory InquiriesIn its second-quarter report released on Tuesday, UBS AG said that the Securities and Exchange Commission, the New York Attorney General and the Financial Industry Regulatory Authority had all made inquiries into the bank's dark pool alternative trading venue, Reuters reports.
By Isobel Markham
3 minute read
July 30, 2014 | The American Lawyer
Wall Street Struggles With U.S. Sanctions on RussiaSome compliance officers at banks and broker-dealers say that the sanctions are not clear enough and they're not sure how to comply.
By Isobel Markham
3 minute read
July 30, 2014 | The American Lawyer
SEC Warns Investors of Social Media FraudScam artists often masquerade online as legitimate sources of market information, the agency says.
By Isobel Markham
2 minute read
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