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Date 18/12/2013
Convergex Group Subsidiary And Two Employees Plead Guilty To Securities And Wire Fraud Charges
A brokerage subsidiary of ConvergEx Group LLC pleaded guilty today to charges of wire fraud and conspiracy to commit securities fraud and wire fraud. ConvergEx Group has also agreed to pay $43.8 million in criminal penalties and restitution as part of a deferred prosecution agreement with the Department of Justice. In addition, Jonathan Daspin, the head trader at the brokerage subsidiary, and Thomas Lekargeren, a sales trader at a different ConvergEx subsidiary, both pleaded guilty today to conspiracy to commit securities and wire fraud.
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Date 18/12/2013
SEC Proposes Rules To Increase Access To Capital For Smaller Companies
The Securities and Exchange Commission today voted to propose rules intended to increase access to capital for smaller companies.
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Date 18/12/2013
Statement From New York Attorney General Schneiderman On Acting New Jersey Attorney General’s Lawsuit Against Credit Suisse
The following statement can be attributed to Attorney General Eric T. Schneiderman in response to Acting New Jersey Attorney General John J. Hoffman’s lawsuit against Credit Suisse over residential mortgage-backed securities.
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Date 18/12/2013
SEC Charges ConvergEx Subsidiaries With Fraud For Deceiving Customers About Commissions
The Securities and Exchange Commission today announced fraud charges against three brokerage subsidiaries and two former employees of a global trading services provider that caused many institutional clients to pay substantially higher amounts than disclosed for the execution of trading orders.
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Date 18/12/2013
Remarks At SEC Open Meeting - Promoting Investor Protection In Small Business Capital Formation - SEC Commissioner Luis A. Aguilar, U.S. Securities and Exchange Commission, Washington, D.C., Dec. 18, 2013
Today, the Commission proposes rules to implement Title IV of the JOBS Act. As mandated by that Act, the proposed rule would allow companies to issue a class of securities that are exempted from the registration and prospectus requirements of the Securities Act, provided that certain conditions are met. This is the third major rulemaking undertaken by the Commission to comply with the JOBS Act since its adoption last year.
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Date 18/12/2013
CBOE Holdings Announces Date Of Fourth-Quarter 2013 Earnings Release And Conference Call
CBOE Holdings, Inc. (NASDAQ: CBOE) will announce financial results for the fourth quarter of 2013 before the market opens on Friday, February 7, 2014. A conference call with remarks by CBOE Holdings, Inc. senior management will begin at 7:30 a.m. Central Time. A presentation will be referenced during the call and will be available on the Investor Relations section of our website at http://ir.cboe.com under Events and Presentations.
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Date 18/12/2013
Central Securities Depositaries: Commissioner Barnier Welcomes Provisional Agreement In Trilogue
"I welcome the provisional agreement reached this morning between the European Parliament and the EU Member States on new rules on securities settlement and central securities depositaries (CSDs) in the EU. Settlement is a very important process for securities markets and for the financing of our economy. The numbers speak for themselves: in the European Union, transactions worth over one quadrillion euro were settled by CSDs in last two years. This agreement will ensure that settlement is carried out in a safer and more efficient manner. I would like to thank the European Parliament, especially the rapporteur, Kay Swinburne, and the shadow rapporteurs; and the Council especially the Lithuanian Presidency and the previous Irish, Cypriot and Danish Presidencies for their work on reaching this agreement. I hope that the remaining technical work can be finalised as soon as possible under the Greek Presidency so that these new rules can be formally adopted by the co-legislators."
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Date 18/12/2013
Federal Court In Florida Orders More Than $8 Million In Sanctions Against Defendants Philip Leon And Paul Rangel For Commodity Pool Fraud And Misappropriation - In A Parallel Criminal Action, Leon Pleaded Guilty To Mail And Wire Fraud
The U.S. Commodity Futures Trading Commission (CFTC) obtained federal court Orders requiring Defendants Philip Leon, of Altamonte Springs, Florida, to pay a $4 million civil monetary penalty and $1,598,343 in disgorgement and Paul Rangel, of Apopka, Florida, to pay a $1.7 million civil monetary penalty and $819,781 in disgorgement to settle CFTC charges related to a fraudulent commodity pool scheme. The consent Orders of permanent injunction, both entered on December 17, 2013 by Judge Gregory A. Presnell of the U.S. District Court for the Middle District of Florida, also impose permanent trading and registration bans against Leon and Rangel and prohibit them from violating provisions of the Commodity Exchange Act and a CFTC Regulation, as charged.
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Date 18/12/2013
Council Of The European Union: Lithuanian Presidency Reaches Political Agreement On The Regulation On Central Securities Depositories
The Lithuanian Presidency has on December 18 in Brussels reached a preliminary political agreement with the European Parliament on the Regulation on improving securities settlement in the EU and on central securities depositories, pending technical finalisation.
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Date 18/12/2013
CFTC Commitments Of Traders Reports Update
The current reports for the week of December 10, 2013 are now available.
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