News from 2012
CTFC issues $200K penalty against Morgan Stanley
WASHINGTON (Legal Newsline) - Morgan Stanley Smith Barney violated CFTC regulations by failing to diligently supervise employee handling of customer accounts, according to an order issued Monday by the U.S. Commodity Futures Trading Commission.
NLRB begins partnership with Federal Mediation and Conciliation Service
WASHINGTON (Legal Newsline) - Parties who participate in the Board's alternative dispute resolution will have the opportunity to meet with a contracted mediator from the Federal Mediation and Conciliation Service, the National Labor Relations Board announced Tuesday.
N.Y. AG Schneiderman settles with Yankee Trails
Schneiderman
SEC files charges in '.44 Magnum' financial plan
WASHINGTON (Legal Newsline) - An money manager and two of his chief marketers were charged Thursday by the Securities and Exchange Commission with defrauding investors with a fake company simulating one of Germany's former largest banks.
Hong Kong firm agrees to settle with SEC
WASHINGTON (Legal Newsline) - A Hong Kong-based firm charged with insider trading in July has agreed to settle with $14 million, double the amount of its alleged illegal profits, the Securities and Exchange Commission announced Thursday.