SYDNEY (Reuters) – Standard Chartered on Friday said it had been granted approval by the China Securities Regulatory Commission (CSRC) to set up a mainland securities firm. The bank said …
Securities
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BROOKLYN, NY – Earlier today, in federal court in Brooklyn, John DeMarr was sentenced by United States District Judge LaShann DeArcy Hall to 60 months in prison for his participation …
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SEOUL (Reuters) – South Korea’s financial regulator has imposed a fine of 11.88 billion won ($9.66 million) on U.S.-based Citadel Securities, saying it disturbed the local stock market with high-frequency …
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By Howard Schneider WASHINGTON (Reuters) – Kansas City Federal Reserve President Esther George has urged her colleagues to come to terms “earlier than later” on a plan for the U.S. …
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NEWARK, N.J. – A Monmouth County, New Jersey, man was sentenced to 63 months in prison for committing securities fraud to obtain over $2.8 million from victim investors, U.S. Attorney …
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RED BANK, NJ – A former Red Bank based investment advisor is heading to federal prison for defrauding his clients. According to U.S. Attorney Philip R. Sellinger, a man from …
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ANKARA (Reuters) – The Turkish central bank has included non-bank financial companies in securities maintenance regulations as part of its “liraization strategy” which will be introduced in the New Year. …
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Baltimore, Maryland – A federal grand jury has returned an indictment charging Nader Pourhassan, age 59 of Lake Oswego, Oregon, and Kazem Kazempour, age 69, of Potomac Maryland, for their …
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SHANGHAI (Reuters) – China’s securities regulator said on Friday it will launch a reform this month to bring the country’s securities settlement system more in line with international practices, to …
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By Selena Li HONG KONG (Reuters) – The Hong Kong government has named Julia Leung as new head of the Securities and Futures Commission (SFC), becoming the first female chief …
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HOUSTON – A federal grand jury in the Southern District of Texas returned an indictment that was unsealed yesterday charging eight men with conspiracy to commit securities fraud for a …
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HONG KONG (Reuters) – Major Chinese developer Country Garden has signed a contract with the Postal Savings Bank of China for a credit line of up to 50 billion yuan …
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Assistant U. S. Attorneys Owen Roth and Aaron P. Arnzen NEWS RELEASE SUMMARY – November 22, 2022 SAN DIEGO – Canadian resident David Stephens and California residents Donald Danks, Jonathan …
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Damian Williams, the United States Attorney for the Southern District of New York, announced that JAMES VELISSARIS, the founder and former chief investment officer of Infinity Q Capital Management (“Infinity …
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BEIJING (Reuters) – China’s securities regulator on Friday released draft rules on deepening a registration-based system for bond sales, in a reform that streamlines the process for companies to raise …
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PORTLAND, Ore.—After a two-week trial, a federal jury in Portland found a McMinnville, Oregon man guilty today of evading $2.5 million in income taxes by hiding his income in multiple …
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SEC Launches Investigation Into Billionaire Dem Donor For Potential Violations Of Securities Rules: REPORT John Hugh DeMastri on November 10, 2022 Sam Bankman-Fried, cryptocurrency billionaire and major donor to Democratic …
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NEWARK, N.J. – A Florida man was sentenced to 45 months in prison for laundering funds obtained from a $50 million internet-enabled fraud scheme, U.S. Attorney Philip R. Sellinger announced …
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TOKYO (Reuters) – Mizuho Financial Group’s securities unit will acquire a 19.99% stake in Rakuten Securities from its parent Rakuten Group for 80 billion yen ($552 million) to beef up …
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Former Securities Brokers Sentenced to Federal Prison Terms for Perpetrating Securities Fraud Scheme
MIAMI – A South Florida federal judge has ordered prison sentences for two former securities brokers who defrauded investors out of $1.5 million by — among other things — lying …
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LOS ANGELES – A former San Gabriel Valley resident who ran Los Angeles County-based investment companies and was a frequent guest on financial television news programs was charged today …
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Damian Williams, the United States Attorney for the Southern District of New York, announced that JOSHUA BURRELL was sentenced today to 48 months in prison for committing securities fraud in …
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OAKLAND – John Mendes, a registered investment advisor, was charged in a federal information filed today with securities fraud for trading upon non-public inside information, announced United States Attorney Stephanie …
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OAKLAND – John Mendes, a registered investment advisor, was charged in a federal information filed today with securities fraud for trading upon non-public inside information, announced United States Attorney Stephanie …
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(This Sep. 17 story has been refiled to show that market makers were approved for STAR Market in headline) SHANGHAI (Reuters) – (This Sep. 17 story has been refiled to …