Search Results for: Securities and Exchange Commission
Sachs probed in alleged Treasury rigging
March 21st, 2016
Washington’s probe into the alleged rigging of the $13 trillion US Treasurys market by Wall Street banks has narrowed its focus to a handful of firms — including Goldman Sachs, The Post has learned. In addition, European authorities have ...
GAIN Capital Provides Update on Status of Form 10-K Filing
March 18th, 2016
GAIN Capital Holdings, Inc. (NYSE: GCAP; “GAIN” or “the Company”), a global provider of online trading services, today provided an update regarding the filing of its Annual Report on Form 10-K for the fiscal year ended December 31, 2015 (the “10-K”). GAIN ...
SEC Awarding Nearly $2 Million to Three Whistleblowers
March 9th, 2016
The Securities and Exchange Commission today announced the payment of almost $2 million to three whistleblowers. The largest of the three awards will go to a whistleblower who voluntarily provided original information that prompted the SEC to open its ...
The First Bitcoin Mining Fund has been launched
March 7th, 2016
Genesis Mining, which provides computer equipment to create bitcoins in the cloud, has launched the world’s first fund that invests in hardware used to create the digital currency, according to Reuters. The company said it registered the fund, called the ...
Whistleblower says SEC awarded him $750,000 for Nyse tip
March 3rd, 2016
The founder of market data outfit Nanex says that he has been awarded $750,000 for a whistleblowing tip that resulted in the New York Stock Exchange getting slapped with a $5 million SEC fine. In 2012 the Securities and ...
Imposition of an administrative fine to CommexFX Ltd
February 25th, 2016
The Board of the Cyprus Securities Exchange Commission (‘CySEC’) wishes to inform investors that, at the meeting held on December 14th, 2015, decided to impose an administrative fine of €100.000 on the CIF CommexFX Ltd for non-compliance with Section ...
SEC charged a former Deutsche Bank research analyst
February 19th, 2016
The Securities and Exchange Commission today charged a former Deutsche Bank research analyst with certifying a rating on a stock that was inconsistent with his personal view. An SEC investigation found that Charles P. Grom certified that his March 29, 2012 ...
VimpelCom will pay to resolve probes in the second largest global anti-corruption settlement in history
February 19th, 2016
Amsterdam-based telecommunications operator VimpelCom Ltd on Thursday said it would pay $795 million (£555 million) to resolve U.S. and Dutch probes into a bribery scheme in Uzbekistan, in the second largest global anti-corruption settlement in history. The settlement was ...
Boeing Chief Defends Accounting Practice
February 18th, 2016
Dennis Muilenburg ‘very confident’ in bookkeeping system days after report alleging SEC probe Boeing Co. Chief Executive Dennis Muilenburg on Wednesday defended the aerospace company’s accounting practices and corporate strategy in the wake of weeks of volatile stock movements. The company’s shares have ...
BCSC added four Binary brokers on its Investment Caution List
February 15th, 2016
The British Columbia Securities Commission (BCSC) has informed today that four Binary Options Broker Firms have been added on its Investment Caution List. According to the updated list, the below firms are new on the list: 1) ZenithOptions www.zenithoptions.com ...
