Michael Coscia Sentenced to Three Years’ Imprisonment for Spoofing and Commodity Fraud:
Michael Coscia, the first person prosecuted and convicted under a law prohibiting spoofing that was enacted after the 2007-2008...more
7/18/2016
/ Administrative Hearings ,
Amended Regulation ,
CFTC ,
Citigroup ,
Commodities ,
Corporate Fines ,
Criminal Prosecution ,
Disclosure Requirements ,
Electronic Blue Sheets ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Regulation AT ,
Securities Fraud ,
Spoofing
FINRA Seeks to Identify How Some Members Implement Cultural Values: The Financial Industry Regulatory Authority advised some broker-dealers through a targeted exam letter that it will soon meet with them to learn how they...more
Charles Schwab Fined US $2 Million by FINRA for Net Capital Deficiencies: Charles Schwab & Co. agreed to pay US $2 million to the Financial Industry Regulatory Authority to resolve allegations that it had net capital...more
9/1/2015
/ Administrative Hearings ,
Administrative Law Judge (ALJ) ,
Anti-Money Laundering ,
Appeals ,
Barclays ,
Block Trades ,
BNP Paribas ,
Capital Requirements ,
CFTC ,
Charles Schwab ,
Corporate Fines ,
Dark Pool ,
Dealers ,
Derivatives ,
Dismissals ,
EU ,
European Securities and Markets Authority (ESMA) ,
Exchange-Traded Products ,
Financial Industry Regulatory Authority (FINRA) ,
Flash Boys ,
High Frequency Trading ,
Investment Adviser ,
Liquidation ,
National Futures Association ,
Office of Foreign Assets Control (OFAC) ,
Proposed Regulation ,
Sanctions ,
SAR ,
Securities and Exchange Commission (SEC) ,
Stress Tests ,
UBS