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Date 08/12/2009
SEC Blocks Early-Stage Ponzi Scheme Involving Purported Investments In Personal Injury Settlements
The Securities and Exchange Commission today halted a Ponzi scheme involving a New York firm that solicited investments involving personal injury lawsuit settlements but instead shipped the money overseas. The SEC obtained a court order freezing the assets of the firm, its president, and several companies holding money from the scam that began several months ago.
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Date 08/12/2009
AMF Signs Assistance And Cooperation Agreement With Russia's Federal Financial Markets Service (FFMS)
Vladimir Milovidov, Head of the Federal Financial Markets Service (FFMS) of the Russian Federation, and Jean-Pierre Jouyet, Chairman of the Autorité des marchés financiers (AMF), signed on 27 November 2009 a memorandum of understanding (MOU) on assistance and cooperation aimed at forging closer links between the two countries' authorities and financial markets.
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Date 08/12/2009
SEC Charges California Firm And CEO With Defrauding Customers In Sales Of Risky Mortgage-Backed Securities
The Securities and Exchange Commission today charged Irvine, Calif.-based Brookstreet Securities Corp. and its President and CEO Stanley C. Brooks with fraud for systematically selling risky mortgage-backed securities to customers with conservative investment goals. The fraud cost many Brookstreet investors their savings, homes, or retirement cushions, and eventually caused the firm to collapse.
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Date 08/12/2009
CBOE, CFE And CBSX New Year's Holiday Trading Schedule
The Chicago Board Options Exchange (CBOE), CBOE Futures Exchange (CFE), and CBOE Stock Exchange (CBSX) today announced the following trading schedule in observance of the Christmas and New Year's holidays, with all trading times CST: Thursday,
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Date 08/12/2009
BATS Europe Publishes MTF Price Formation Study- Analysis Indicates MTFS Offer Valid Reference Prices During Listing Market Outages - BATS Europe Also Calls For Standard Market Outage Protocol
BATS Europe, an innovative, wholly-owned subsidiary of BATS Global Markets, today announced the publication of a white paper examining whether effective price formation can take place on Multilateral Trading Facilities (MTFs) independent of the listing market.
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Date 08/12/2009
Interactive Brokers Will Offer Trading On ELX Futures
ELX Futures, L.P. (ELX Futures), a new fully electronic futures exchange, announced today that Interactive Brokers Group, Inc. (NASDAQ GS: IBKR), an automated global electronic market maker and broker specializing in routing orders and executing and processing trades in securities, futures and foreign exchange instruments will become a member of the exchange and will offer trading on ELX Futures.
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Date 08/12/2009
Boerse Stuttgart Becomes A Full Member & Nominations To The FESE Board
On 1st December 2009 the General Assembly of the Federation of European Securities Exchanges (FESE) unanimously approved the application of Boerse Stuttgart to become a Full Member. The Membership will commence as of 1st January 2010.
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Date 08/12/2009
Irish Stock Exchange Admits Conroy Diamonds And Gold plc And Karelian Diamond Resources plc To Trade On IEX
The Irish exploration companies, Conroy Diamonds and Gold plc (“Conroy”) and Karelian Diamond Resources plc (“Karelian”), will commence trading today [Monday] on IEX, the Irish Stock Exchange’s specialist market for smaller growth companies.
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Date 08/12/2009
FINRA Expels Meeting Street Brokerage, Bars Broker, Sanctions Firm's Owner For Market Manipulation, Other Violations - All Three Schemed To Create Artificial Price And Trading Volume For Relay Capital Corporation
The Financial Industry Regulatory Authority (FINRA) announced today that it has expelled Meeting Street Brokerage, LLC of Palm City, FL from the securities industry for market manipulation of Relay Capital Corporation stock — as well as for violations of Regulation T, Anti-Money Laundering (AML) rules, instant message retention requirements, registration requirements and net capital requirements.
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Date 08/12/2009
FESE European Equity Market Report – November 2009 Figures
The FESE European Equity Market Report for November 2009 is now available:
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