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  • Stockholm Stock Exchange’s Disciplinary Committee Fines Timber Hill And J P Morgan

    Date 11/04/2007

    Timber Hill has contravened the Stockholm Stock Exchange’s rules by placing automatically routed sell and buy orders on several occasions that deviated from the current market value of the securities concerned. On a number of occasions, a broker at J P Morgan placed buy and sell orders on the company’s own account in a manner that resulted in several automatically matched transactions, whereby J P Morgan conducted business with itself. Accordingly, the Stockholm Stock Exchange’s Disciplinary

  • SEC Institutes Enforcement Action Alleging Broker-Dealer And Its Principal Aided And Abetted Pump-And-Dump Scheme And Failed To File Suspicious Activity Reports Required By Bank Secrecy Act

    Date 11/04/2007

    The Securities and Exchange Commission today announced the institution of administrative and cease-and-desist proceedings against Winter Park, Fla.-based Park Financial Group, Inc. and its principal, Gordon Cantley. In the Order Instituting Proceedings, the Division of Enforcement alleges that Park and Cantley aided and abetted and caused a pump-and-dump scheme involving the securities of Spear & Jackson, Inc. and failed to file Suspicious Activity Reports (SARs) reporting suspicious transact

  • NYMEX Holdings, Inc. Announces Timing Of First Quarter 2007 Earnings Release, Conference Call

    Date 11/04/2007

    Holdings, Inc., the parent company of the New York Mercantile Exchange, Inc. (NYSE: NMX) announced today that it intends to release its first quarter 2007 results on Tuesday, May 1, 2007. In conjunction with this release, NYMEX will host a conference call at 8:00 AM Eastern Time, which will be simultaneously broadcast over the internet.

  • Second Consecutive Electronic Trading Record In NYBOT Softs

    Date 11/04/2007

    IntercontinentalExchange (NYSE: ICE), the leading electronic energy marketplace and soft commodity exchange, announced a second consecutive daily electronic trading record at the New York Board of Trade (NYBOT) yesterday, with 149,389 futures contracts changing hands. The new record replaces the previous high established on Monday, April 9, of 147,958 contracts.

  • UK's Financial Ombudsman Service Funding Arrangements: Feedback Statement

    Date 11/04/2007

    The Financial Services Authority (FSA) and the Financial Ombudsman Service have today published a Feedback Statement describing responses to the discussion initiated last year about how the costs of funding the ombudsman service’s compulsory jurisdiction (CJ) could be shared among firms in future. The responses have indicated that there is broad support for increasing the importance of the case fee – as opposed to the levy - in financing the Financial Ombudsman Service. At the same time, th