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Tag: Enforcement

Derivatives
Investments & markets
The CFTC just fined Goldman for failure to properly disclose prices fairly to clients. And it's all about a technical issue related to the timing of...
News
Regulation, enforcement & litigation
Credit Suisse is taking advantage of the situation in Ukraine to eliminate evidence related to the Russian oligarchs' tax evasion (money laundering?)....
Crypto
News
Why isn't Bitcoin/Blockchain Russia’s salvation from sanctions? Many people are posting that Bitcoin and blockchain are somehow a solution for sanctions. Below are reasons for why...
News
Regulation, enforcement & litigation
A major leak has just revealed the details of 18,000 private accounts and $100 billion held at Credit Suisse. The owners include the Who's Who of...
Investments & markets
News
$700,000 on decorating, $345,000 on jets and yachts, $136,000 on casinos and nightclubs, $6.9 m in credit card payments... The licensing rights didn't exist. It was...
News
Regulation, enforcement & litigation
"It’s unconscionable that FINRA would stack the deck against American investors", says PIABA, the plaintiff attorney association. A judge has excoriated FINRA for having helped Wells...
News
Regulation, enforcement & litigation
Yet another Ponzi, this time with silver trading. Gaylen Rust from the Rust Rare Coin company, may spend the next 19 year in prison for a...
News
Regulation, enforcement & litigation
NatWest has admitted to market manipulation to the SEC. The guilty admission will cost much more than the $35m fine. It may become the SEC's new...
News
Regulation, enforcement & litigation
The party is still going, but the band's tune has changed. Regulators are investigating the Buy Now, Pay Later (BNPL) industry....
News
Regulation, enforcement & litigation
You always see the glitz around hedge fund portfolio managers - the parties, the mansions, the cars and the boats. It's not always like that. This...