Legal Eagle Review
Citigroup Business Unit Charged With Failing to Protect Confidential Subscriber Data While Operating Alternative Trading System
- Details
- Written by kurt
The Securities and Exchange Commission today charged a Citigroup business unit operating an alternative trading system (ATS) with failing to protect the confidential trading data of its subscribers.
FTC Will Keep Negative Option Rule In Its Current Form
- Details
- Written by LER
The Federal Trade Commission has completed its review of the Negative Option Rule and will keep the Rule in its current form.
Unlicensed Trader Pleads Guilty in Los Angeles to Role in Fraudulent High Yield Investment Program Scheme
- Details
- Written by FBI
An unlicensed trader who solicited $500,000 from undercover FBI agents to invest in a fraudulent high yield investment program pleaded guilty today in federal court in Los Angeles.
SEC Charges Investor Relations Executive With Insider Trading While Preparing Clients’ Press Releases
- Details
- Written by LER
The Securities and Exchange Commission today charged a partner at a New York-based investor relations firm with insider trading on confidential information he learned about two clients while he helped prepare their press releases.
Man Pleads Guilty to Obstruction of Justice and Filing False Multi-Billion Dollar Liens Against Two Federal Judges and Other Government Employees
- Details
- Written by USDOJ
Tyree Davis Sr., 42, of Flossmoor, Illinois, pleaded guilty to two counts of obstruction of justice and two counts of filing false retaliatory liens against government officials, the Justice Department announced today.
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