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SEC Charges Two New York-Based Accountants With Conducting Ponzi Scheme Against Clients

Date 22/07/2010

The Securities and Exchange Commission today charged two certified public accountants with fraud and is seeking an emergency court order to freeze their assets after they sold phony securities to investors and then stole the money for personal use.
FINRA Orders Suntrust Investment Services To Pay $1.44 Million For Unsuitable UIT, Closed-End Fund And Mutual Fund Transactions - Sanction Includes $540,000 In Restitution To Disadvantaged Customers - Broker Barred In Separate Action, Former Branch Manage

Date 22/07/2010

The Financial Industry Regulatory Authority (FINRA) announced today that it has ordered SunTrust Investment Services, Inc. of Atlanta, GA, to pay $1.44 million to resolve charges related to unsuitable unit investment trust (UIT), closed-end fund (CEF) and mutual fund transactions. Of that amount, $900,000 is a fine that includes nearly $224,000 in disgorgement of commissions earned on the unsuitable trades. The remaining $540,000 represents restitution to 17 customers who incurred losse
CFTC Begins Publishing New Large-Trader Report For Financial Futures Markets

Date 22/07/2010

The U.S. Commodity Futures Trading Commission (CFTC) today announced that it will begin publishing a new report that adds further transparency to the financial futures markets. The report, entitled Traders in Financial Futures (TFF), builds on improvements to transparency implemented last year that disaggregated data in the CFTC’s weekly Commitments of Traders (COT) Reports.
SEC Releases Report Of The Life Settlements Task Force

Date 22/07/2010

The Securities and Exchange Commission today released a staff report recommending that life settlements be clearly defined as securities so that the investors in these transactions are protected under the federal securities laws.
RTS Trading Statistics June 2010 - Optimism Slowly Comes To The Market

Date 22/07/2010

Activity on the Russian market in June reflected how investors were hesitant to trade. As a result, the principal RTS Index changed insignificantly. Despite the cut in the Greek rating, the Russian share market showed relatively active growth, following the global exchange grounds and oil prices.

Instinet Named “Best EMS Provider” By Readers Of Waters Magazine - Recognition Of Newport 3 By The Industry Validates Firm’s Development Strategy For Multi-Asset, Broker-Neutral EMS Platform

Date 22/07/2010

Instinet Incorporated, a global leader in electronic trading and agency-only brokerage services, today announced that it has been named “Best Execution Management System Provider” by the readers of Waters magazine in the Waters Rankings 2010. The firm’s Newport® 3 EMS bested a field of ten platforms – including Bloomberg’s EMSX, Goldman Sachs’ REDIPlus®, Investment Technology Group’s Triton® and Portware Enterprise – in capturing the award.
Placing Traders – The Next Generation

Date 22/07/2010

Placing Traders, the online recruitment, marketing and networking site, has undergone major developments in functionality and thus a significant expansion to its range of services.
SGX To Clear New OTC Container Swaps From 2 August 2010

Date 22/07/2010

Singapore Exchange (SGX) will be clearing four new over-the-counter (OTC) Container Swap contracts starting from Monday, 2 August 2010.
MAB Approves The Incorporation Of DC Advisory Partners As A Registered Adviser - This Incorporation Brings The Total Number Of Registered Advisers On MAB To 27

Date 22/07/2010

The Board of Directors of the Mercado Alternativo Bursátil (MAB) have agreed the appointment of DC Advisory Partners Asesores as a Registered Adviser in the MAB for growth companies and its registration on the Advisers Register. With this incorporation the total number of Registered Advisers on MAB stands at 27.
Financial Industry Veteran Joins Exegy Board

Date 22/07/2010

Exegy, Inc., the market data appliance company, announced today the addition of Bill Cline to the Exegy Board of Directors.