Showing posts with label DODD-FRANK ACT. Show all posts
Showing posts with label DODD-FRANK ACT. Show all posts
Sunday, October 2, 2016

CASINO-GAMING COMPANY TO PAY HALF-MILLION PENALTY IN WHISTLEBLOWER RETALIATION CASE

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION Press Release SEC: Casino-Gaming Company Retaliated Against Whistleblower FOR IMMEDIAT...
Monday, July 6, 2015

SEC TAKES ENFORCEMENT ACTION AGAINST COMPANY OFFERING COMPLEX DERIVATIVE PRODUCTS TO RETAIL INVESTORS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  06/17/2015 12:05 PM EDT The Securities and Exchange Commission announced an enforcement...
Thursday, June 4, 2015

SEC CHAIRMAN WHITE'S REMARKS BEFORE ADVISORY COMMITTEE ON SMALL AND EMERGING COMPANIES

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Opening Remarks of SEC Chair Mary Jo White before the SEC Advisory Committee on Small and...
Tuesday, September 9, 2014

CFTC CHAIRMAN MASSAD'S TESITMONY BEFORE U.S. SENATE COMMITTEE ON BANKING, HOUSING, AND URBAN AFFAIRS

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FROM:  COMMODITY FUTURES TRADING COMMISSION Testimony of Chairman Timothy Massad before the U.S. Senate Committee on Banking, Housing, ...
Monday, August 4, 2014

CFTC CHARGES MAN AND BUSINESS WITH OPERATION OF ILLEGAL PRECIOUS METALS SCHEME

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FROM:  U.S. COMMODITY FUTURES TRADING COMMISSION  CFTC Charges Florida-Based Southern Trust Metals, Inc. and Robert Escobio, and His BVI-...
Monday, June 9, 2014

SEC AWARDS $875,000 IN WHISTLEBLOWER MONEY TO BE SPLIT BETWEEN TWO TIPSTERS

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FROM:  U.S. SECURITIES AND EXCHANGE  COMMISSION  The Securities and Exchange Commission today announced a whistleblower award of more th...
Monday, October 21, 2013

SETTLEMENT CHARGES SETTLED IN "LONDON WHALE" SWAPS TRADES CASE

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FROM:  U.S. COMMODITY FUTURES TRADING COMMISSION  CFTC Files and Settles Charges Against JPMorgan Chase Bank, N.A., for Violating Prohibiti...
Tuesday, July 16, 2013

CFTC COMMISSIONER CHILTON'S STATEMENT ON CROSS-BORDER GUIDANCE AND EXEMPTIVE ORDER

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FROM:  U.S. COMMODITY FUTURES TRADING COMMISSION  “Just Say’n” Statement of Commissioner Bart Chilton on Cross-Border Guidance and Exempt...
Thursday, July 11, 2013

FDIC CHAIRMAN GRUENBERG GIVES STATEMENT ON MITIGATING SYSTEMIC RISK THROUGH REFORM

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FROM:  FEDERAL DEPOSIT INSURANCE CORPORATION  Statement Of Martin J. Gruenberg, Chairman, Federal Deposit Insurance Corporation on Mitigat...
Friday, May 17, 2013

CFTC CHARGES COMPANY, OWNER WITH INVOLVEMENT IN PRECIOUS METALS FRAUD

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FROM: COMMODITY FUTURES TRADING COMMISSION May 13, 2013 CFTC Charges Global Precious Metals Trading Company and Michael Ghaemi of C...