Friday, August 2, 2013

SEEKING GUIDANCE ON DODD-FRANK STRESS TEST GUIDANCE FOR MEDIUM-SIZED FIRMS

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FROM:  FEDERAL DEPOSIT INSURANCE CORPORATION Agencies Seek Comment on Dodd-Frank Act Stress Test Guidance for Medium-sized Firms Three f...

MAN ORDERED TO PAY OVER $480,000 TO SETTLE CHARGES OF VIOLATING A PERMANENT TRADING BAN

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FROM:  COMMODITY FUTURES TRADING COMMISSION Federal Court in Illinois Orders Michael Peskin to Pay More Than $480,000 and Imposes Other Sa...
Thursday, August 1, 2013

FLORIDA RESIDENT CHARGED BY SEC WITH SELLING UNREGISTERED SECURITIES

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FROM:   SECURITIES AND EXCHANGE COMMISSION  SEC Charges Florida Resident with Unregistered Sales of Securities On July 23, 2013, the Sec...
Wednesday, July 31, 2013

ATTORNEY SUSPENDED FROM PRACTICING LAW FOR THREE YEARS OVER INSIDER TRADING ROLE

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FROM:  SECURITIES AND EXCHANGE COMMISSION  New York State Suspends Attorney Mitchell S. Drucker from Practicing Law for Three Years Based ...
Tuesday, July 30, 2013

CFTC ANNOUNCEMENT REGARDING MANDATORY CLEARING OF iTRAXX CDS INDICES FOR CATEGORY 2 ENTITIES

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FROM:  COMMODITY FUTURES TRADING COMMISSION July 25, 2013 CFTC Announces that Mandatory Clearing of iTraxx CDS Indices for Category 2 Ent...
Monday, July 29, 2013

FORMER INVESTMENT BANKER AND COLLEGE FRIEND SENTENCED FOR ROLES IN INSIDER TRADING SCHEME

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Former Investment Banker and His College Friend Sentenced to 16 Months in Prison for Insid...