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  • CFTC Commitments Of Traders Reports Update

    Date 09/01/2015

    The current reports for the week of January 6, 2015 are now available.

  • FINRA Hearing Panel Expels John Thomas Financial And Bars CEO Tommy Belesis For Trading Ahead Of Customer Orders, Providing False Testimony And Other Violations; Ordered To Pay $1,047,288 To Customers

    Date 09/01/2015

    The Financial Industry Regulatory Authority (FINRA) announced today that a hearing panel has expelled John Thomas Financial (JTF), of New York, NY, and barred its Chief Executive Officer, Anastasios "Tommy" Belesis, from the securities industry for violations in connection with the sale of America West Resources, Inc. (AWSR) common stock, including trading ahead of customers' orders, recordkeeping violations, violating just and equitable principles of trade, and for providing false testimony. The panel also jointly and severally ordered JTF and Belesis to pay $1,047,288, plus interest, to customers. Additionally, JTF and Belesis were suspended for two years and jointly and severally fined $100,000, and JTF's Chief Compliance Officer Joseph Castellano was suspended for one year and fined $50,000, for harassing and intimidating registered representatives. The panel dismissed charges alleging fraud, best execution violations, failure to follow customer orders, making misrepresentations to customers and failure to supervise. Charges were also dismissed against Ronald Cantalupo, Regional Managing Director; Michele Misiti, Branch Office Manager; and John Ward, trader. The ruling resolves charges brought by FINRA's Department of Enforcement in April 2013.

  • ESMA Updates List Of Authorised CCPs – CME Clearing Europe Re-Authorised For Extended Activities And Services

    Date 09/01/2015

    The European Securities and Markets Authority (ESMA) has published today an update of its list of central clearinghouses (CCPs) which are authorised under the European Markets Infrastructure Regulation (EMIR). Today’s update concerns CME Clearing Europe Ltd. which has extended its activities and services, a fact which under EMIR requires a new authorisation by the competent authority.

  • Irish Stock Exchange Reaches 25,000 Debt Listings

    Date 09/01/2015

    The Irish Stock Exchange (ISE) has today announced that it has reached the milestone of 25,000 debt listings. This news comes in the wake of the publishing of the ISE year in review where CEO Deirdre Somers called 2014 a “landmark year” for the exchange.

  • Nigerian Stock Exchange: Weekly Report For The Week Ended 9 January 2015

    Date 09/01/2015

    A turnover of 2,013 billion shares worth N23.377 billion in 20,902 deals were traded this week by investors on the floor of the Exchange in contrast to a total of 1.245 billion shares valued at N15.898 billion that exchanged hands last week in 12,018 deals.

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