Securities

FINRA bars broker for swindling 31 NFL players Fallback Image Decorative pattern

Industry

FINRA bars broker for swindling 31 NFL players

FINRA has barred broker Jeffrey Rubin of Lighthouse Point, Florida, from the securities industry.

By Staff |March 8, 2013

2 min read

Will RCMP monitor electronic trades? Fallback Image Decorative pattern

Industry

Will RCMP monitor electronic trades?

High-frequency trading in the U.S. is getting much heat from the FBI and SEC, who have teamed up against manipulative trading practices powered by ultra-sophisticated algorithmic strategies.

March 6, 2013

3 min read

NASAA urges fiduciary standard for broker-dealers Fallback Image Decorative pattern

Industry

NASAA urges fiduciary standard for broker-dealers

The North American Securities Administrators Association (NASAA) is calling for Congress to implement a fiduciary standard for broker-dealers.

By Staff |March 5, 2013

1 min read

Chinese firm pays $1 million to settle accounting violations Fallback Image Decorative pattern

Industry

Chinese firm pays $1 million to settle accounting violations

The SEC has charged a China-based petrochemical company and its former chief financial officer with accounting and disclosure violations.

By Staff |March 1, 2013

3 min read