| 单词 | securities industry |
| 例句 | In their action, the investors point out that Bradley was subject to a 2012 disciplinary proceeding brought by the Financial Industry Regulatory Authority, an oversight organization operated by the securities industry. Film entrepreneur draws mixed reviews 2014-08-12T04:00:00Z In June the Securities and Exchange Commission proposed barring Mr. Rattner from working in the securities industry because of alleged improper dealings involving his investment firm. Books of The Times: Bailing Out the Big Guys, Posthaste 2010-09-19T21:55:00Z He was sentenced to eight years in federal prison and barred from taking part in the securities industry for life. 'Wall Street Whiz Kid' charged with running financial scams out of L.A. bars and luxury apartments 2023-08-28T04:00:00Z In 2022, the securities industry employed about 190,800 people in New York, or about one in 11 jobs in the city, the highest level in many years. Wall Street Bonuses Drop 26% as Deal-Making Cools 2023-03-30T04:00:00Z The securities industry plays a major role in state and city tax revenue, accounting for an estimated 22% of the state’s tax collections and 8% of collections for the city. Average Wall Street bonuses dipped 26% to $176,700 last year 2023-03-30T04:00:00Z DiNapoli estimates that 1 in 11 jobs in the city are either directly or indirectly associated with the securities industry. Wall Street bonuses dropped 26% in 2022 after record 2021 2023-03-30T04:00:00Z This occurred shortly after a new rule from the Brazilian securities industry regulator CVM began to take effect in January, implementing mark-to-market in fixed-income investments, which ended up helping to make the picture worse. Americanas scandal won't affect Brazil banks much even in "extreme scenario" - cenbank 2023-03-09T05:00:00Z A Stanford Business School study of arbitration in the securities industry, for instance, found that companies — which use arbitration far more often than individuals — learned which arbitrators would favor their positions and kept selecting them. Arbitration Has Come to Senior Living. You Don’t Have to Sign Up. 2022-09-24T04:00:00Z Goldman and its peers had hired aggressively to expand in China after the country fully opened up its securities industry, before lockdowns and geopolitical crises crushed investment banking activity in the mainland. Goldman Sachs lays off 25 bankers in Asia - Bloomberg 2022-09-20T04:00:00Z Bankers in New York City’s securities industry got an average bonus of $257,500 last year, the state’s comptroller estimated. Wall Street bonuses jumped 20 percent to a record, but the boom may be short-lived. 2022-03-23T04:00:00Z Employment in the city's securities industry came in at about 190,800 people in 2022, the highest level in more than two decades. Wall Street bonuses dropped 26% in 2022 after record 2021 2023-03-30T04:00:00Z The typical bonus paid to employees in New York’s securities industry climbed to an all-time high of $257,500, according to an analysis by New York State Comptroller Thomas DiNapoli. New-home sales dropped in February 2022-03-23T04:00:00Z The securities industry accounts for one-fifth of private sector wages in New York City, despite comprising 5% of private sector employment. Wall Street profits drive average bonuses to a record $258K 2022-03-23T04:00:00Z The securities industry makes up one-fifth of private sector wages in New York City, despite comprising only 5% of private sector employment, the report said. Wall Street hands out 20% more bonus for 2021 2022-03-23T04:00:00Z The 180,000 employees in the securities industry make up only 5 percent of the city’s private-sector work force but account for a fifth of its wages, according to the estimates. Wall Street bonuses jumped 20 percent to a record, but the boom may be short-lived. 2022-03-23T04:00:00Z Also on Monday, Digital World said it had received “preliminary, fact-finding inquiries” from both the SEC and the Financial Industry Regulatory Authority, a private group by which the securities industry regulates itself. Rep. Devin Nunes to leave Congress to become Trump media company CEO 2021-12-06T05:00:00Z “The securities industry’s strong profits have helped shore up tax revenues and securities industry workers have been among the first to return to the office,” DiNapoli said in a report released Thursday. Wall Street profits near record levels despite dip in jobs 2021-10-22T04:00:00Z “Consumption is expected to pick up if further progress in vaccinations allow society to curb infections, while resuming economic activity,” Kuroda said in a speech delivered to an online annual meeting of Japan’s securities industry. BOJ Kuroda vows to keep easy policy on weak consumption, inflation 2021-09-30T04:00:00Z The secretary of state’s office oversees election issues statewide, along with registering businesses and regulating the securities industry. New Indiana secretary of state starts 2022 election campaign 2021-04-26T04:00:00Z An internal review by the Financial Industry Regulatory Authority, the securities industry’s regulator, found a breakdown on the part of the organization in the Madoff case. EXPLAINER: Charmed by Madoff, SEC later tightened its rules 2021-04-15T04:00:00Z They said Madoff hired numerous employees “with little or no prior pertinent training or experience in the securities industry” to communicate with his investment clients and “generate false and fraudulent documents.” Factbox-Prosecutors charged Madoff with "unprecedented" fraud in 2009 2021-04-14T04:00:00Z The secretary of state’s office oversees election and voting issues, along with chartering businesses and regulating the securities industry. Governor announcing new Indiana secretary of state 2021-03-16T04:00:00Z Brazil’s securities industry watchdog CVM is expected to launch an investigation on Monday, according to a source with knowledge of the matter. Shares of Brazil's Petrobras plunge after CEO ouster 2021-02-22T05:00:00Z He also did not mention that Massachusetts securities regulators are investigating whether he violated any securities industry rules and regulations with his social media postings. GameStop trader will tell Congress his advocacy as Roaring Kitty wasn’t for his own profit. 2021-02-17T05:00:00Z The Financial Industry Regulatory Authority — the securities industry’s main self-regulatory organization — says financial services professionals must avoid making “false, misleading claims, exaggerated statements and material omissions” on social media. A GameStop Evangelist’s Videos Draw a Regulator’s Attention 2021-02-03T05:00:00Z By itself, Wall Street — the securities industry centered in Manhattan — accounts for roughly 17 percent of the state’s tax revenues. New York Subway’s Pain Could Bring Riches for Bond Investors 2020-10-30T04:00:00Z And with the markets in a spiral, the tax revenue from the securities industry in Wall Street — which accounts for 17 percent of all state tax collections — also looks bleak. Outbreak Ravages N.Y. Budget; Governor Calls Aid Deal ‘Terrible’ for State 2020-03-26T04:00:00Z President Donald Trump’s administration, defending the SEC in the case, said that depriving courts of the ability to order disgorgement would hurt defrauded investors and the securities industry. U.S. Supreme Court leans toward SEC's power to recover ill-gotten gains 2020-03-03T05:00:00Z He also was banned for life from the securities industry. Michael Milken's pardon follows a decades-long campaign to rehabilitate his image 2020-02-18T05:00:00Z The settlement includes a permanent bar from the securities industry, the SEC said. U.S. SEC says has settled corruption charges with former Goldman executive 2019-12-16T05:00:00Z The current economic environment will continue to create challenges for the securities industry, the report added. Wall Street firms record best first-half profit in a decade: report 2019-10-25T04:00:00Z That is a controlling stake because it is all voting stock, equivalent to 50.3% of common shares, according to information provided by Petrobras to securities industry regulators. Privatize Petrobras? Lofty ambition, higher hurdles 2019-08-28T04:00:00Z He also accepted a lifetime ban from the securities industry, while neither admitting nor denying the S.E.C.’s charges. The Fall of ‘America’s Money Answers Man’ 2019-03-01T05:00:00Z The SEC barred him in 2014 from the securities industry after he made “material misstatements” and committed “fraud and deceit,” according to a settlement agreement between the SEC and Kosolcharoen. ‘Miraculous’ stem cell therapy has sickened people in five states 2019-02-26T05:00:00Z Sinema received most of her money from PACs and large contributors, specifically lawyers and the securities industry and interest groups like the American Civil Liberties Union and Planned Parenthood. In Arizona Senate race, McSally continues gaining ground after a boost from Kavanaugh hearings 2018-10-12T04:00:00Z And it was a result of the SEC, established under President Franklin Roosevelt, to police the securities industry. Insider-trading Seahawk runs into regulators’ Legion of Boom 2018-10-05T04:00:00Z LendingClub Corp.’s former chief executive officer agreed to be banned from the securities industry for at least three years to resolve allegations that he misused investors’ money. LendingClub founder banned from the securities industry for three years - Los Angeles Times 2018-10-01T04:00:00Z But he agreed to be barred from the securities industry for three years and pay a $200,000 fine. LendingClub Founder, Ousted in 2016, Settles Fraud Charges 2018-09-28T04:00:00Z The agency seldom tries to bar a figure as prominent as Mr. Musk permanently from the securities industry. S.E.C. Sues Tesla’s Elon Musk Over Fraud in Move That Could Oust Him 2018-09-27T04:00:00Z Nearly 200,000 people are employed in the securities industry in New York, more than any other state. Wall Street salaries highest since 2008 crisis, report finds 2018-09-17T04:00:00Z “Abuses in the mortgage-backed securities industry led to a financial crisis that devastated millions of Americans,” Alex Tse, the acting U.S. attorney for the Northern District of California, said in the statement. Wells Fargo to pay $2.09 billion to settle probe into crisis-era mortgage abuses 2018-08-01T04:00:00Z The settlement allows him to seek readmission to the securities industry after three years. LendingClub founder banned from the securities industry for three years - Los Angeles Times 2018-10-01T04:00:00Z Attorneys general from California, Oregon and New York on Thursday filed a motion to intervene in a case between the securities industry and the U.S. Trader sentenced to 2 years in currency rigging 2018-04-26T04:00:00Z A recent annual report from the New York State comptroller revealed how bonuses in the securities industry are up 17 percent over the last year, averaging $184,220. Lembo says Connecticut facing $197.7 million budget deficit 2018-04-02T04:00:00Z DiNapoli’s report found that the industry continues to be dominated by men, with men making up more than two-thirds of the total securities industry jobs in the city. Wall Street salaries highest since 2008 crisis, report finds 2018-09-17T04:00:00Z In a separate settlement announced Tuesday, the SEC fined Delorme $50,000 and barred her from working in the securities industry, though she did not admit wrongdoing. L.A.'s Wedbush charged with failing to supervise stockbroker who SEC says was involved in penny-stock scam 2018-03-27T04:00:00Z But he agreed to a two-year ban from the securities industry for failing to properly supervise some of his staff. Steven Cohen’s Investment Firm Accused of Hostility to Women 2018-02-12T05:00:00Z He agreed in a settlement with the SEC to a lifetime ban from the securities industry and paid a $200 million fine. George W. Bush says Russia meddled in 2016 US election 2018-02-08T05:00:00Z The amount of U.S. corporate debt outstanding, for example, is nearly $8.8 trillion, according to Sifma, the U.S. securities industry group. Central banks, trade and bubbles threaten the 2018 status quo 2017-12-19T05:00:00Z He says about one in 10 jobs in New York City and one in 16 jobs in New York state are directly or indirectly associated with the securities industry. NY comptroller: Wall Street profits could beat 2016 2017-10-30T04:00:00Z Profits from the securities industry topped $12.3 billion in the first half of this year, a third higher than the same period a year earlier. Wall Street 2017 profits set to surpass last year's: report 2017-10-30T04:00:00Z The ban from the securities industry expired at the end of the last year. Steven Cohen’s Investment Firm Accused of Hostility to Women 2018-02-12T05:00:00Z The plea, part of a deal that also ended a federal case against Milken’s brother and colleague, Lowell, led to a lifetime ban from the securities industry and a 10-year prison sentence. Orange County money manager asks Trump to pardon 'junk bond king' Michael Milken 2017-08-30T04:00:00Z The amount of U.S. corporate debt outstanding, for example, is nearly $8.8 trillion, according to Sifma, the U.S. securities industry group. Central banks, trade and bubbles threaten the 2018 status quo 2017-12-19T05:00:00Z Significantly, he will not be barred from the securities industry. Leon Cooperman’s Hedge Fund Settles Insider Trading Case 2017-05-18T04:00:00Z Profits from the securities industry topped $12.3 billion in the first half of this year, a third higher than the same period a year earlier. Wall Street 2017 profits set to surpass last year's: report 2017-10-30T04:00:00Z Crucially, the settlement barred him from the securities industry, with the right to reapply after a year. In S.E.C.’s Streamlined Court, Penalty Exerts a Lasting Grip 2017-05-04T04:00:00Z He said that with roughly 150,000 workers, the tech sector in New York City is quickly catching up with total employment in the securities industry. Bull Markets Don’t Mean Extra Jobs for Wall Street 2017-04-05T04:00:00Z Outside of the securities industry, Sterling was early to adopt a no-suing a policy. Hundreds Accuse Jewelry Firm of Discrimination and Sexual Misconduct 2017-03-06T05:00:00Z The reports Friday follow the disappearance of a Chinese-born Canadian businessman from Hong Kong and the detention of a series of leading securities industry figures on the mainland. Stock regulator: China plans to 'capture' suspects abroad 2017-02-10T05:00:00Z Xu was one of a number of brokers and others in the securities industry who were detained after share prices plunged in 2015. Star Chinese stock trader jailed for manipulating prices 2017-01-23T05:00:00Z Outside the United States, Singapore’s central bank recently said that it was barring Tim Leissner, the main Goldman banker who worked with the Malaysian investment fund, from the local securities industry. 1MDB Case Hangs Over Goldman Sachs as Investigators Dig for Answers 2016-12-22T05:00:00Z The securities industry accounted for 18.5 percent of Albany’s tax revenues last year, and about 7 percent of the city’s tax haul. Bull Markets Don’t Mean Extra Jobs for Wall Street 2017-04-05T04:00:00Z The state seeks an order banning Greenberg from working in the securities industry or as an executive for any public company. High court turns away appeal from former AIG executives 2016-12-12T05:00:00Z In October, Japan's securities industry body introduced guidelines on how analysts should gather information from listed companies in a bid to prevent leaks. Japan regulators working on new rules to prevent leaks by company executives 2016-12-02T05:00:00Z The securities industry cut 8 percent of its jobs from 2007 to 2015, while other private sector jobs grew 17 percent. Wall St. Poised for Higher Profits but Fewer Jobs, Report Says 2016-10-28T04:00:00Z In 2015, New York City represented 19 percent of securities industry jobs in the United States, down from 32 percent in 1990, the report said. Wall Street broker-dealer profits in 2016 to exceed last year's: watchdog 2016-10-28T04:00:00Z The financial services and securities industry is the largest private-sector contributor to tax revenue in New York State. Bull Markets Don’t Mean Extra Jobs for Wall Street 2017-04-05T04:00:00Z He urged SEC Administrative Law Judge Carol Fox Foelak to force Tilton, 57, and Patriarch Partners to pay at least $200 million and to bar the private equity chief from the securities industry. SEC, 'Diva of Distressed' Tilton face off in fraud trial 2016-10-24T04:00:00Z He also wants to bar them from the securities industry and from being officers and directors of public companies. Judge takes over questioning ex-AIG chief Hank Greenberg 2016-09-29T04:00:00Z The securities industry accounted for 18.5 percent of the state’s tax collections last year and 7 percent of the city’s. Wall St. Poised for Higher Profits but Fewer Jobs, Report Says 2016-10-28T04:00:00Z Schneiderman is seeking to bar Greenberg and his co-defendant, former AIG chief financial officer Howard Smith, from the securities industry and from serving as officers or directors of public companies. Ex-AIG chief Hank Greenberg, 91, testifies in fraud case 2016-09-27T04:00:00Z The state wants to ban Greenberg from working in the securities industry. 91-year-old ex-AIG boss Greenberg testifies at state trial 2016-09-27T04:00:00Z The state seeks to recover past bonuses and bar the defendants from senior roles in public companies and the securities industry. Final claims 2016-09-15T04:00:00Z Randy, 61, is a retired financial writer who works occasionally as an elections officer and a securities industry dispute arbitrator. London’s Tube subway has been taken over by cats, including one from Virginia 2016-09-13T04:00:00Z The state also wants the defendants barred from serving in the securities industry or as officers or directors of any public company. After 11 Years, Case of A.I.G.’s Ex-Chief Is Going to Trial 2016-09-11T04:00:00Z The settlement barred Mr. Wyatt and his immediate supervisor from the securities industry for life. Morgan Stanley Neglected Warnings on Broker 2016-08-19T04:00:00Z In fact, with 172,400 workers in 2015, employment in the New York securities industry remains well short of where it peaked before the financial crisis. Middle-Income Jobs Finally Show Signs of a Rebound 2016-08-18T04:00:00Z “So far, Trump’s haul from the securities industry is under $400,000” California Inc.: Tesla set to open its new 'gigafactory' 2016-07-25T04:00:00Z So far, Trump’s haul from the securities industry is under four hundred thousand dollars. Trump’s Mixed Messages to Wall Street 2016-07-21T04:00:00Z Mr. Parthemer, who was barred from the securities industry in 2015, held the C.F.P. designation and was also recognized as a registered player financial adviser by the National Football League’s Player Association. Deciding if a Financial Adviser Is Right for the Job 2016-06-10T04:00:00Z The former employee, financial adviser Galen Marsh, accepted a five-year securities industry ban to settle related civil charges. Morgan Stanley pays $1 million SEC fine over hacked customer data 2016-06-08T04:00:00Z The New York state comptroller estimated last month that one in nine jobs in New York City are either directly or indirectly associated with the securities industry. Wall Street Locals Don't See the Villains the Candidates Depict 2016-04-15T04:00:00Z Mr. Grom, who neither admitted nor denied wrongdoing, will be suspended from the securities industry for one year. Ex-Deutsche Bank Analyst to Pay $100,000 Over Ratings 2016-02-17T05:00:00Z But it will initially be available to most investors only through one brokerage firm, as the securities industry hasn’t rushed to embrace the new product known as an exchange-traded managed fund. Eaton Vance’s New Breed of Fund to Begin Trading in February 2016-01-25T05:00:00Z Now market activity is shrinking, with investors facing losses as Beijing steps up an investigation into the securities industry and pressures major shareholders not to sell. As Growth Slows, China Highlights Transition From Manufacturing to Service 2016-01-19T05:00:00Z Securities and Exchange Commission said on Wednesday it barred hedge fund adviser Owen Li from the securities industry for making false statements to investors that lead to the collapse of a fund. U.S. SEC bars fund adviser from securities industry 2015-12-16T05:00:00Z Mr. Schulz, the securities industry expert, said he was shocked by Ms. Gavin’s actions. He Blew the Whistle at JPMorgan Chase, Then Came the Blowback 2015-12-10T05:00:00Z He was barred for life from the securities industry. Michael Milken Returns to Wall Street for UJA-Federation Dinner 2015-12-08T05:00:00Z On Friday, China’s benchmark stock index fell by 5.5%, its biggest daily slide since August, as Beijing authorities stepped up a crackdown on the securities industry. Chinese Pull Back From U.S. Property Investments 2015-11-27T05:00:00Z Although Finra is an independent organization and not part of the government, it is authorized by Congress to protect investors by writing and enforcing rules for the securities industry. Richard Ketchum to Retire From Finra 2015-10-30T04:00:00Z Fairfax, a corporate governance expert, has experience in securities industry enforcement from her service on the review council of the Financial Industry Regulatory Authority, a private corporation that acts as a self-regulator for the industry. Obama nominates pair for SEC panel 2015-10-20T04:00:00Z "After a very strong first half of the year, the securities industry faces volatile financial markets and an unsteady global economy," DiNapoli said. New York comptroller: Wall Street profits hit $11.3 billion in first half of 2015; jobs added 2015-10-06T04:00:00Z The state comptroller monitors the securities industry because of its importance to state and city tax revenue as well as to the local economy. Wall St. profits up 29 percent in first half of 2015 to $11.3 billion: report 2015-10-06T04:00:00Z “It is a sign more influential securities industry officials will be uncovered as the authorities deepen investigations.” China Investigates Top Brokerage for Market Manipulation 2015-08-27T04:00:00Z Ms. Wishman has also agreed to pay $15,000 and be barred from working in the securities industry for at least two years. Edward Jones to Pay $20 Million to Settle SEC Municipal Bond Charges 2015-08-13T04:00:00Z A deal with the SEC also risks some parts of the punishment being steeper: Mr. King agreed to a three-year ban from the securities industry, longer than the one-year suspension handed down for Mr. Gonnella. SEC Prosecutors Try Flipping Witnesses 2015-08-05T04:00:00Z The securities industry remains 9 percent smaller than it was before the 2008 financial crisis, the report said. New York comptroller: Wall Street profits hit $11.3 billion in first half of 2015; jobs added 2015-10-06T04:00:00Z The report estimated that one in nine jobs in New York City and one in 15 jobs in the state are either directly or indirectly associated with the securities industry. Wall St. profits up 29 percent in first half of 2015 to $11.3 billion: report 2015-10-06T04:00:00Z Symphony’s emergence may help loosen Bloomberg LP’s grip on messaging in the securities industry. Regulator Seeks Details on Symphony Communication Practices 2015-07-22T04:00:00Z Earlier in Asia, China's benchmark, the Shanghai Composite index, rebounded from last week's heavy losses after regulators and the securities industry intervened to prop up the markets, closing 2.4 percent higher. US stocks slip after Greeks reject terms of latest bailout package; European markets slide 2015-07-06T04:00:00Z Mr. Gonnella’s lawyer said his client is now working outside the securities industry. SEC Prosecutors Try Flipping Witnesses 2015-08-05T04:00:00Z Despite new regulations and legal settlements related to the financial crisis, securities industry profits were strong in the past two years, averaging $16.3 billion annually, the report said. New York comptroller: Wall Street profits hit $11.3 billion in first half of 2015; jobs added 2015-10-06T04:00:00Z "After a very strong first half of the year, the securities industry faces volatile financial markets and an unsteady global economy," DiNapoli said in the report. Wall St. profits up 29 percent in first half of 2015 to $11.3 billion: report 2015-10-06T04:00:00Z Earlier in Asia, China's benchmark, the Shanghai Composite index, rebounded from last week's heavy losses after regulators and the securities industry intervened to prop up the markets, closing 2.4 percent higher at 3,775.91. Global markets fall sharply after Greek 'no' vote 2015-07-06T04:00:00Z In three recent cases, for example, administrative law judges denied the S.E.C.’s requests to bar an individual from the securities industry. S.E.C.’s Use of Internal Tribunals May Give It a Home Court Advantage 2015-06-26T04:00:00Z For example, an emergency freezing of assets can be issued only by a federal court, while barring a broker from the securities industry can be ordered only by an administrative law judge. Choosing the Battlefield in S.E.C. Cases 2015-05-11T04:00:00Z Other proposed changes included allowing professionals in the securities industry to trade stocks themselves for the first time, the report said. China overhauling IPO process, mulls foreign firms listing: report 2015-04-20T04:00:00Z A lobby group for the securities industry, the Securities Industry and Financial Markets Association, or SIFMA, is trying to kill the rule, which was proposed by the Labor Department. Small investors blame losses on brokers they once trusted 2015-03-30T04:00:00Z Public interest groups used the state comptroller's report to draw attention to income and wealth disparities between the securities industry and average workers. Wall Street workers earned $28.5 billion in bonuses last year 2015-03-11T04:00:00Z “The resumption of job growth in the securities industry bodes well for the New York’s economy, but it remains to be seen whether this trend will be sustained,” said DiNapoli. Average Wall Street Bonus Rose 2% To $172,860 2015-03-11T04:00:00Z It is a complex and convoluted law, filled with loopholes that the securities industry is adept at exploiting. Supreme Court May Level The 401(k) Playing Field 2015-03-03T05:00:00Z Falcone also agreed to be barred from the securities industry for at least five years. Philip Falcone No Longer An Owner Of Minnesota Wild 2015-02-25T05:00:00Z The securities industry is working itself into a frenzy trying to explain why you should ignore historical data that indicates most actively managed funds underperform their benchmarks. Wall Street's Lame Excuses for Active Fund Performance 2015-02-18T05:00:00Z Even so, he said, "the securities industry remains profitable and well-compensated even as it adjusts to regulatory changes." Wall Street workers earned $28.5 billion in bonuses last year 2015-03-11T04:00:00Z He received a lifetime ban from the securities industry as a result of his guilty plea. Drexel, 25 Years After Its Collapse, Only Helps a Résumé 2015-02-13T05:00:00Z They tend to be rife with conflicts of interest and geared to benefit the securities industry at the expense of hardworking Americans. Supreme Court May Level The 401(k) Playing Field 2015-03-03T05:00:00Z Hey, wasn’t that true about the securities industry at one time? A Key To Profitable Stamp Investing -- Buying Right 2015-02-10T05:00:00Z Trading turnover at the Hong Kong Stock Exchange, an indicator of securities industry profit, increased by 12% from a year earlier. Outlook '15: Good Year Ahead For Hong Kong's Securities Firms, Billionaire Polly Chu Says 2015-01-21T05:00:00Z She said her son, who lived in Chicago's Lakeview community, had been stressed about work and quit his job as an accounts manager in the securities industry the morning he left. Body found in Palos may be man missing since October, investigator says 2015-01-19T05:00:00Z Philip Falcone, barred from the securities industry last year, found himself down again this year, resigning from his publicly traded Harbinger Group last month. Gathering Bedfellows, Odd and Otherwise, for Auld Lang Syne 2014-12-29T05:00:00Z Burnside agreed to be barred from the securities industry but would be able to reapply after two years. Operator of bitcoin stock exchange penalized by U.S. SEC 2014-12-09T05:00:00Z Burnside agreed to be barred from the securities industry but will be able to reapply after two years. Operator of Bitcoin stock exchange penalized by U.S. SEC 2014-12-08T05:00:00Z Another benefit to Hong Kong’s securities industry this year may ironically be the initial big imbalance in cross-border money flows in favor of A-shares. Outlook '15: Good Year Ahead For Hong Kong's Securities Firms, Billionaire Polly Chu Says 2015-01-21T05:00:00Z He was banned from the securities industry for five years by U.S. regulators and was banned for seven years from decision-making roles at Fidelity & Guaranty Life Insurance, a unit of Harbinger Group Inc. Falcone steps down as CEO from Harbinger 2014-11-25T05:00:00Z Falcone last year reached a settlement that banned him from the securities industry for at least five years and includes an $18 million payment. Phil Falcone Resigns From Harbinger Group, Collects $40.3 Million 2014-11-25T05:00:00Z The case was settled with no admission of guilt, with Blodget paying a $2m, plus a $2m disgorgement and agreeing to a censure and permanent ban from working in the US securities industry. Rehabilitation Or Redemption: What Does Henry Blodget Want Most? 2014-11-21T05:00:00Z The Financial Industry Regulatory Authority, the securities industry’s self-regulatory body, requires that brokers perform due diligence on each issue they sell to ensure its suitability for investors. Special Report: For these oil and gas bets, the odds favor the house 2014-11-11T05:00:00Z Several in the securities industry have complained that the plan is overly complicated and will be expensive to implement. Exclusive: Wall St. firms seek bigger say in market issues - sources 2014-11-07T05:00:00Z The securities industry has a vested interest in making investments complicated and opaque. The Good, The Bad and The Ugly of Investments 2014-11-04T05:00:00Z The watchdog routinely examines brokerages to check up on whether they are complying with securities industry rules. Wall Street watchdog to bolster reviews of brokerage cyber security 2014-10-29T04:00:00Z The “private label” securities industry is a shadow of its pre-crisis self — only 2 percent of the $1.5 trillion market — so the new rule’s impact is mainly symbolic, for now. A step backward for the housing industry When you look at Mr. Garrett’s donors, the top three are the securities industry, insurance companies and commercial banks, in that order. Tough Talk on Dodd-Frank Rules Misses Relevant Points 2014-10-08T04:00:00Z Mr. Martin’s matter is being heard by three arbitrators associated with the Financial Industry Regulatory Authority, a self-regulatory organization that operates the largest dispute resolution forum in the securities industry. What the Arbitration Panel Didn’t Want to Hear 2014-08-30T04:00:00Z According to a recent Investor Alert from FINRA, the securities industry self-regulator, “aggressive stock promotional tactics may signal a potentially fraudulent scheme.” Ebola Schemes A Viral Menace 2014-08-27T04:00:00Z The securities industry spends hundreds of millions of dollars annually sponsoring all forms of financial media, a great portion of which is little more than an infomercial for its services. 5 Investing Myths May Stop You From Retiring On Time 2014-08-25T04:00:00Z He was banned for life from working in the securities industry. Mystery loan lets Jacksons keep both homes 2014-07-11T04:00:00Z In March, a securities industry panel denied the claim. Competition Is Stiff to Manage Tech Billions 2014-06-09T04:00:00Z What is surprising about fraudulent conduct in the securities industry is how common it is. Sharp Practices Can Hurt Your Returns 2014-05-14T04:00:00Z But in July, the SEC launched an administrative action to bar him from the securities industry for failing to supervise Martoma and Steinberg and prevent insider trading. U.S. judge accepts SAC guilty plea, approves $1.2 billion deal 2014-04-11T02:13:08Z Most of the approximately 165,200 employees in the securities industry in New York City are honest, hard-working individuals whose reputation has been tainted by the culture of Wall Street. Today's Economist: The Front-Runners of Wall Street 2014-04-07T04:01:55Z The lawsuit is the latest legal hurdle for Mr. Falcone, who agreed to admit wrongdoing and be banned from the securities industry for at least five years to settle market manipulation accusations. DealBook: Falcone Accused of Using Company Assets in Cash Crunch 2014-03-27T18:56:12Z Profits for broker/dealer operations of some 200 New York Stock Exchange members — the traditional measure of profitability for the securities industry — totaled nearly $16.7 billion last year, down 30 percent from a year earlier. NY Comptroller: Average Wall St. Bonus Over $164K 2014-03-12T14:04:23Z Until such time as the law catches up with common sense, it’s your responsibility to be on the lookout for sharp practices in the securities industry. Sharp Practices Can Hurt Your Returns 2014-05-14T04:00:00Z The June 2013 disclosure, which Reuters recently reviewed on a website run by the securities industry regulator FINRA, sheds light on the basis for a warning by the Federal Bureau of Investigation on January 8. Exclusive: Bank of America's trading practices have been probed, filing shows 2014-01-25T14:14:00Z Schneiderman will seek to bar the bank's former chief executive, Kenneth Lewis, and former chief financial officer, Joe Price, from the securities industry and from serving on boards of public companies, according to his office. Exclusive: NY AG won't ask Bank of America for damages but Merrill case goes on 2014-01-18T00:34:05Z Separately, Cohen was charged in a civil case with failing to supervise his employees by the Securities and Exchange Commission, which is seeking to bar him from the securities industry. Why SAC Capital's Steven Cohen Isn't in Jail 2014-01-02T18:13:01Z The SEC is seeking to ban him from the securities industry for allegedly overlooking insider trading at his firm. 2013 in Review: Tragedy, Transition, Triumph 2013-12-31T02:17:57Z In 2010, Mr. Harvey was permanently barred from the securities industry. Paradise of Untouchable Assets 2013-12-14T20:45:42Z The settlement bars her from the securities industry for six months and requires her to pay a $25,000 fine. Analyst who cast doubt on Provenge vaccine settles with SEC 2013-12-03T19:59:37Z As part of that settlement, his lawyers said, Serageldin would be "effectively banned" from the securities industry. Former Credit Suisse trader Serageldin gets 30 months in jail 2013-11-22T20:55:00Z A federal employee tasked with keeping the securities industry honest was arrested Tuesday and charged with making false statements about his financial holdings. SEC worker is charged with making false statements about his financial holdings 2013-11-20T00:46:44Z In the securities industry, full disclosure is the coin of the realm. When Buying A Business, Consider These Business Principles 2013-10-21T16:06:00Z The regulator collected input from the securities industry about the plan early this year. Wall Street watchdog's board approves broker bonus disclosure plan 2013-09-19T20:10:20Z District Judge Paul Crotty in Manhattan called the civil sanctions, which include a five-year securities industry ban, "appropriate and proportionate to defendants' admitted wrongful conduct," and a "fair and appropriate resolution." Judge OKs SEC's Falcone settlement with admission of wrongdoing 2013-09-16T23:06:00Z The issue has cast a harsh spotlight on the arbitration process of the entire securities industry. DealBook: Schwab Case Casts Spotlight on Securities Arbitration and Its Flaws 2013-09-04T21:56:52Z Mr. Xu was one of the four brokers suspended Friday for life from the securities industry. DealBook: China Brokerage Firm Fined $85 Million Over ‘Fat-Finger’ Trades 2013-08-30T12:19:45Z In addition to paying the fine, Mr. Falcone agreed to be barred from the securities industry for up to five years. DealBook: Harbinger to Take an Insurance Business Public 2013-08-29T23:59:09Z That typically leaves brokers more time to develop client relationships, say securities industry professionals. UBS agrees to pay $4.6 million in settlement over sales assistants 2013-08-26T20:04:47Z Federal regulators barred Mr. Blodget, who now runs Business Insider, a business news Web site, and Jack B. Grubman, another prominent analyst who worked at Salomon Smith Barney, from the securities industry. DealBook: With I.P.O.’s on the Rise, Analysts Get New Scrutiny 2013-08-12T01:16:12Z Previously, one person on each three-person panel had to come from the securities industry. DealBook: Schwab Case Casts Spotlight on Securities Arbitration and Its Flaws 2013-09-04T21:56:52Z He faces the possibility of fines and a ban from the securities industry. Ex-Goldman Banker Found Liable in $1 Billion Fraud Case 2013-08-01T20:41:26Z Mr. Tourre also faces a ban from the securities industry, but any decision to prohibit Mr. Tourre from working on Wall Street, and for how long, lies solely with the S.E.C. DealBook: Former Goldman Trader Is Found Liable in Mortgage Deal 2013-08-01T19:59:50Z If Mr. Tourre is found liable, he also faces a potential ban from the securities industry. DealBook: Jury Begins Deliberations in Tourre Trial 2013-07-31T16:46:36Z If the jury returns an unfavorable verdict, Mr. Tourre faces fines and a possible ban from the securities industry. DealBook: Lawyers Present Closing Arguments in Former Goldman Trader’s Fraud Case 2013-07-31T00:49:25Z If the jury returns an unfavorable verdict in the civil trial, Mr. Tourre faces monetary penalties and a possible ban from the securities industry. DealBook: Defense Tries to Show Sympathetic Side of Ex-Trader 2013-07-26T00:57:50Z If the jury finds he did defraud investors, he faces a possible bar from the securities industry and financial fines. DealBook: Witness in Tourre Case Describes Difficulty in Knowing Deal’s Friends From Foes 2013-07-24T03:35:50Z Tourre, who faces fines and a lifetime ban from the securities industry, denies the allegations. The latest risk in Tourre trial: jurors dozing and losing the plot 2013-07-19T20:18:54Z If found liable, Mr. Tourre faces fines and could be barred from the securities industry. DealBook: S.E.C. Tries to Use Trader’s Colleague at Goldman to Bolster Case 2013-07-19T01:34:45Z If convicted, Mr. Tourre faces fines and could be barred from the securities industry. DealBook: In Tourre Trial, S.E.C. Wages Battle Against Its Own Witness 2013-07-18T01:34:39Z Some of the evidence in the civil fraud trial could reopen the debate over Wall Street's accountability during the credit crunch, while Tourre could face a fine or a ban from the securities industry. Former Goldman Sachs trader 'Fabulous Fab' goes on trial 2013-07-14T15:52:47Z For Mr. Tourre, who is now enrolled in a doctoral economics program at the University of Chicago, an unfavorable verdict could yield a fine, or worse, a ban from the securities industry. DealBook: S.E.C. Hopes for Validation in Goldman Sachs Trader Case 2013-07-10T01:11:27Z In 1998, Mr. Milken agreed to pay $47 million to settle a Securities and Exchange Commission complaint that he violated a lifetime ban from the securities industry by advising on several transactions. DealBook: Perelman Sues Old Friend Milken (Not to Worry. It Isn’t Personal.) 2013-07-09T01:24:56Z Investors and the securities industry must use FINRA's arbitration system to resolve their legal disputes, such as battles over brokers' signing bonuses or investor claims of mistreatment. Exclusive: FINRA beefs up policing of arbitrators 2013-06-21T05:01:19Z "What is significant is barring this guy from the securities industry for five years," he said. Former Goldman banker settles SEC 'pay-to-play' charges 2013-05-23T21:34:54Z The office will continue to pursue other remedies against the defendants, including a potential ban on working in the securities industry or serving as an officer or director of a public company, the letter said. New York drops damages claim in suit against ex-AIG chief 2013-04-26T02:58:11Z The deal, the people said, would have required Mr. Tourre to face a lifetime ban from the securities industry and a cash penalty — virtually the same punishment he would face if found liable at trial. DealBook: S.E.C. Hopes for Validation in Goldman Sachs Trader Case 2013-07-10T01:11:27Z Unlike the S.E.C., the Ontario commission did not find that he engaged in insider trading, but only that he acted inappropriately given his position in the securities industry. White Collar Watch: Deductive Reasoning Can Be a Dangerous Thing 2013-04-22T16:42:30Z Timban was acting as a "public arbitrator" - one who is not affiliated with the securities industry and is typically more consumer friendly than an industry arbitrator, said Athena's attorney, David Moffitt, in Wayne, Pennsylvania. Exclusive: FINRA beefs up policing of arbitrators 2013-06-21T05:01:19Z This helped get him banned from the securities industry. 7 Reasons Apple is More Doomed Than You Think 2013-04-18T12:59:29Z True, Henry Blodget was banned from the securities industry for life, but that hasn't stopped him from becoming a web publishing success with Business Insider. The shortlist to run Time Inc, the most unenviable job in America 2013-03-26T13:30:01Z Arbitrators must, however, explain their reasons for recommending to remove certain disclosures from public records for securities industry professionals, a process known as "expungement." Goldman wins $1.4 million arbitration case filed by debt fund investor 2013-03-14T18:54:38Z He agreed to settlements with each, paying about $850,000 and accepting restrictions on any future work in the securities industry. White Collar Watch: Deductive Reasoning Can Be a Dangerous Thing 2013-04-22T16:42:30Z Pershing is the securities industry's biggest provider of back-office, lending and investment products to brokerage firms, hedge funds and independent wealth advisers. Bank of New York's Pershing reorganizes top management 2013-03-06T18:35:02Z Rival broker-dealers would not comment for the record, but the securities industry appears split on the issue of restricting clients' dispute alternatives. Schwab may apply class-action victory to pending cases 2013-02-26T20:18:55Z Having somebody banned for life from the securities industry as your CEO adds a sense of insouciance and opportunity to your company profile. The shortlist to run Time Inc, the most unenviable job in America 2013-03-26T13:30:01Z The securities industry says it supports a fiduciary standard but wants a version that will accommodate certain business practices. COMPLY-Legal scholar sees U.S. broker reform as no-nonsense measure 2013-02-08T16:41:39Z Add to that Mr. Moore’s position in the securities industry, and this seems to add up to an insider trading case. White Collar Watch: Deductive Reasoning Can Be a Dangerous Thing 2013-04-22T16:42:30Z But what if the tide of technology and investor attention-deficit disorder continues apace, and trading does not decline as much as the securities industry and its paid academic shills claim? DealBook: Time to Revive the Financial Transaction Tax 2013-02-06T17:14:20Z While securities industry rules require brokerages to arbitrate claims with "customers," FINRA's definition of that word is vague. Citi and UBS must arbitrate auction rate case: court 2013-01-24T18:58:44Z Wall Street has been no help: the securities industry, which has traditionally pulled New York out of recessions by hiring and paying big bonuses, shrank slightly in 2012. What to Expect in New York in 2013 2012-12-29T18:00:12Z The temptation to exaggerate customer trading orders grows in periods of low volume, and the securities industry is completing its fourth year of excessively low trading volume. U.S. fines Deutsche Bank unit $1.25 million for inflating trade data 2012-12-19T19:28:03Z Biremis, which is affiliated with Swift Trade of Canada, lost its license in the United States and its two owners were barred from the securities industry. DealBook: S.E.C. Moves Against Day-Trading Broker 2012-12-19T13:09:36Z They noted, however, that the comments were made to other securities industry technology professionals in the spirit of honest communication. HP, RIM take flak from nervous financial industry customers 2012-12-06T22:50:32Z The securities industry regulator’s rules are due by yearend, though many across the industry expect the agency to miss its deadline. Crowdfunding Is About to Get More Crowded 2012-11-29T20:46:08Z Morgan Keegan paid a $200 million civil regulatory fine over the funds and a star manager at the firm was banned from the securities industry. Morgan Keegan and ex-NBA star in dispute over interest 2012-11-19T22:38:09Z AND IPO PRICINGSThe securities industry would have preferred that bond markets had remained closed all day Monday, but the U.S. U.S. stock markets to be closed again Tuesday 2012-10-29T17:28:00Z He ultimately agreed to pay $500,000 in penalties and be barred from the securities industry by the U.S. Ex-NBA star says fight with brokerage worse than facing Shaq 2012-10-15T19:50:59Z Some lawyers and economists who work with the securities industry described the lawsuit as "novel" in seeking damages for the borrowers since investment banks are several steps removed from loan origination. ACLU sues Morgan Stanley for bias in mortgage business 2012-10-15T16:43:41Z Florey consented to a bar from employment in the securities industry in the state of New Jersey and was fined $10,000. Wells Fargo And ING Catch Broker Ripping Off Elderly Client 2012-09-12T16:54:16Z The company’s former chief compliance officer and two former analysts were fined and suspended from the securities industry. Finra Fines Rodman & Renshaw for Analysts’ Actions 2012-08-22T23:56:55Z Wu, the central bank researcher, was jailed for six years in 2011 for leaking 25 items to 15 employees of the securities industry. China company official jailed for leaking data: report 2012-07-27T12:27:46Z "I applaud Watanabe's resignation from the perspective that it is aimed at leading to a reform of the securities industry," Okubo told reporters. Nomura CEO to quit over insider trading scandal 2012-07-26T09:13:31Z After peaking at 213,000 in August 2007, securities industry jobs in the state fell more than 15 percent in the wake of the financial crisis, according to the Bureau of Labor Statistics. Finance Jobs Leave Wall Street as Firms Cut Costs 2012-07-02T00:57:36Z It also shows the challenges regulators face in trying to police a rapidly evolving securities industry. A Bump at Speed Trading Hearing 2012-06-20T23:58:12Z The firm has been able to grow during a challenging time for the securities industry, and not just because it does a good job of advising clients and executing trades for them, Mr. Quinn said. Fair Game: Drexel Hamilton, a Wall St. Firm, Hiring Disabled Veterans 2012-06-16T18:14:12Z Being able to articulate why an investment is in the best interests of your client is fundamental to what the securities industry must be about if it is to deserve the trust of investors. Wall Street Regulator FINRA Sings Kumbayah In Regulatory Fight Against Conflicts And Unsuitability 2012-05-22T13:45:35Z Officials are asking the court to block the twins from the securities industry and order them to return the money they collected from investors. British Brothers Charged in Stock-Robot Swindle 2012-04-21T12:01:41Z Cioffi will be barred from working in the securities industry for three years, while Tannin will be barred for two years, The men are not admitting or denying wrongdoing, lawyers said. Two former Bear Stearns managers settle SEC case 2012-02-13T19:53:27Z The figure does not include potentially hundreds of millions of dollars owed to the firm’s securities industry customers. DealBook: MF Global Trustee Sees $1.6 Billion Customer Shortfall 2012-02-10T22:05:45Z To help recruits learn the business, Drexel Hamilton apprentices them to securities industry professionals with decades of experience. Fair Game: Drexel Hamilton, a Wall St. Firm, Hiring Disabled Veterans 2012-06-16T18:14:12Z “People get caught up in the feeding frenzy that surrounds these opportunities,” said Gerri Walsh, vice president of investor education for the Financial Industry Regulatory Authority, the self regulator for the securities industry. Wealthy Investors Shrug at Facebook IPO After Private Purchases 2012-02-08T14:36:40Z Pessimism is taking a toll on the securities industry, where more than 200,000 jobs were lost last year, even as U.S. unemployment declines as the economy accelerates. Stocks Least Loved Since ’80s as U.S. Scales Wall of Worries 2012-02-06T02:59:23Z In any case, Maine has built a business as an expert witness, mediator and arbitrator in the securities industry. Expert Witnesses Faulted in Suit Against Mets? Owners 2012-01-28T02:50:38Z Bart Chilton, a Democrat at the agency, has proposed an insurance fund, much like that of the securities industry, and has suggested that the penalty for misusing customer money be increased. DealBook: Futures Industry Sees Chance to Shape Oversight 2012-01-26T02:17:06Z Slaine worked closely with the FBI for many months, providing general information about the securities industry and the workings of particular hedge funds, they said. David Slaine, Who Led to Rajaratnam, Gets 3 Years’ Probation 2012-01-20T22:14:40Z He also faces unrelated Securities and Exchange Commission allegations of insider trading that could result in his suspension from the securities industry. Advisory Board Says LightSquared Can't Coexist With GPS 2012-01-14T01:56:38Z The securities industry in the city lost nearly $3 billion in the third quarter, according to a report released this month by the New York State comptroller. DealBook: Morgan Stanley to Cut 580 Jobs in New York 2011-12-28T17:58:42Z Eskandar said he planned to work on projects within the securities industry and outside the business and left the company on friendly terms. Liquidnet’s Eskandar Quits as Head of U.S. Equities at Dark Pool 2011-12-16T00:50:07Z "Cash bonuses paid to securities industry employees in the city are likely to be substantially smaller than last year." Wall Street woes pressure NYC budget: NYS official 2011-12-15T17:37:58Z The CFAs also trained their negativity on the securities industry itself. Financial Analysts Dim on '12 2011-12-15T16:05:30Z TOKYO—Japan's securities industry watchdog called for action against the Japanese securities unit of Citigroup Inc. and UBS AG for improperly trying to influence the setting of short-term interbank interest rates in Tokyo. Japanese Watchdog Seeks Sanctions Against Citi, UBS 2011-12-09T16:41:09Z Sallie Krawcheck, who was fired as Bank of America's wealth management chief in September, minced no words at a securities industry conference two weeks ago. Analysis: Wall St. banks wonder if they are shrinking for good 2011-11-21T22:36:11Z They say he acted on secrets he got from friends and colleagues in the securities industry and at public companies. NY judge cites ?brazen? nature of insider trading in imposing $92M fine on ex-hedge fund boss 2011-11-08T22:05:17Z Speaking at a securities industry conference, he added that financial institutions should be allowed to fail from time to time. CFTC's Gensler didn't want to distract from probe 2011-11-07T18:36:54Z To serve as a deterrent, China sentenced Sun Zhen, a senior secretary at the National Bureau of Statistics, to five years in jail for leaking 27 statistical figures to the securities industry, the statement said. China sentences two officials to jail for leaking data 2011-10-24T08:09:55Z Between June 2009 and January 2011, Sun violated provisions of the law on Guarding State Secrets by leaking 27 items of classified statistical data to employees of the securities industry, Li said. China Officials Jailed as Government Cracks Down on Data Leaks 2011-10-24T03:26:01Z Wu leaked 25 items of classified data to 15 people in the securities industry a total of 224 times, the National Bureau of Statistics said in a statement before a briefing in Beijing today. PBOC Worker Gets 6-Year Jail Term for Data Leaks, NBS Says 2011-10-24T02:11:01Z New York City's securities industry faces the loss of nearly 10,000 jobs by the end of 2012, New York state's comptroller has predicted, a blow to the area's economy and government budgets. M.B.A.s Seek to Occupy Wall Street 2011-10-20T23:31:10Z Conditions in New York City’s securities industry weakened. Highlights from the Fed?s Beige Book economic survey of 12 regional bank districts 2011-10-19T23:01:04Z It added that Wu Chaoming, a researcher at the People's Bank of China, was sentenced to six years in jail for leaking 25 items to 15 employees of the securities industry. China sentences two officials to jail for leaking data 2011-10-24T08:09:55Z Wu leaked 25 items of classified statistical data 224 times to 15 people in the securities industry, Li said. China Officials Jailed as Government Cracks Down on Data Leaks 2011-10-24T03:26:01Z Court of Appeals in Manhattan to overrule a decision by the Financial Industry Regulatory Authority, the independent regulatory group for the securities industry. Goldman Sachs Asks Court to Throw Out Bayou Creditors’ Award 2011-10-14T23:59:01Z Too often, Brodsky said, those in the securities industry rationalize that they are justified to use inside information. Hedge fund exec gets 11 years for crimes judge calls ?a virus? in US business culture 2011-10-14T08:30:08Z New York’s securities industry may lose as many as 10,000 jobs by the end of next year, the Wall Street Journal reported today, citing a report by state comptroller Thomas DiNapoli. Goldman Earnings Seen Collapsing 2011-10-11T09:50:03Z “If the market-making definition is too narrow, that kind of activity will be curtailed,” Mr. Snook, of the securities industry group, said. Volcker Rule to Take Shape This Week 2011-10-11T01:00:03Z DiNapoli, who described the securities industry as the city’s “economic engine,” said one in seven jobs in the city, and one in 13 in the state, is associated with Wall Street. Wall Street Protests Risk Harm to NYC Economy, Mayor Says 2011-10-07T18:03:03Z "She's too conflicted with the securities industry to provide the type of leadership that is needed to protect investors," says Andrew Stoltman, a securities lawyer in Chicago. Thanking Madoff for Exposing the SEC 2011-09-22T04:04:13Z The wiretaps eventually led to a separate probe of researchers in the securities industry who enable illegal secrets to be passed between hedge fund managers and employees of public companies. Calif. researcher sentenced in NYC to 4 years in prison for insider trading using code words 2011-09-22T00:33:48Z The securities industry will likely pay very close attention to how the SEC's proposal fleshes out the details of the exemptions. SEC plan would limit conflicts in ABS deals 2011-09-19T14:07:01Z S&P 500 earnings are poised to reach a record $99.74 a share this year, according to the average of securities industry estimates compiled by Bloomberg, after companies beat projections for 10 straight quarters. U.S. Stocks Advance Amid Optimism Over Progress on Europe Crisis 2011-09-14T18:09:02Z He promised that he would not appeal his conviction, settle a civil case brought against him by the Securities and Exchange Commission and agree to a permanent ban from the securities industry. DealBook: A Busy Day For Insider Trading Cases 2011-09-01T11:26:38Z Revenue estimates for the companies that build Apple’s parts suggest securities industry analysts are about $2 billion short. Apple Suppliers Show How Wall Street Helps Manage Expectations 2011-09-01T03:48:02Z “The U.S. securities industry is very resilient,” he said. U.S. Stock Exchanges to Open as Usual, Avoiding Storm Damage 2011-08-28T18:25:01Z Mr. Blodget is making "exaggerated and unwarranted claims," which is what the SEC stated publicly when he was permanently banned from the securities industry in 2003. How gloomy should we be about the economy? 2011-08-24T12:30:00Z As part of a settlement in a related civil matter, the Securities and Exchange Commission permanently barred the two brothers from the securities industry. DealBook: Milken's Gift Stirs Dispute at U.C.L.A. Law School 2011-08-23T00:35:14Z He also accepted a permanent ban from the securities industry. DealBook: A Busy Day For Insider Trading Cases 2011-09-01T11:26:38Z After all, not only do I author the popular Forbes blog “Street Sweeper,” but I am also a high-powered, high-profile securities industry lawyer. Wall Street Regulatory Sleuth Bill Singer Issues August FINRA Update 2011-08-18T12:51:14Z “It looks like they’ve done the right things to limit the reputational damage,” said Matt Fabian, who tracks the state and local government securities industry for Municipal Market Advisors Inc. in Concord, Massachusetts. JPMorgan Proves Jefferson County Bond Death No Bar to Business 2011-08-12T04:24:01Z With the securities industry entering its fifth consecutive quarter of stagnant trading income -- and expecting more difficulty once regulatory reforms take effect -- banks are bolstering profits by restraining costs. Wall Street targets pay as trading revenue fizzles 2011-07-08T15:20:53Z As part of his settlement, Mr. Kelsoe, 49, agreed to pay $500,000 in penalties and to accept a lifetime ban from the securities industry. Fair Game: Findings That May Get Lost 2011-06-25T16:55:25Z In a related development, the U.S. securities industry and its regulators are trying to fix the problems caused by lengthy trading halts of U.S.-listed Chinese companies that have been suspected of accounting fraud. Pressure on regulators builds as Sino-Forest sinks 2011-06-22T00:09:21Z It’s not a pretty picture. Whether the market is up or down 600 points, someone in the securities industry is plotting to steal money from you or from an employer. Wall Street Regulatory Sleuth Bill Singer Issues August FINRA Update 2011-08-18T12:51:14Z DVP is a securities industry procedure in which payment for a security must be made when the security is delivered. U.A.E. May Win MSCI Boost Amid Ownership Caps, Templeton Says 2011-06-20T20:48:58Z Delivery-versus-payment is a securities industry procedure in which payment for a security must be made when the security is delivered. Abu Dhabi Shares Rise to 7-Month High on MSCI Upgrade Optimism 2011-06-19T11:26:36Z These obligations to disclose are imposed upon members of the securities industry and, as such, the problem is well known to those who work on the Street. Did NASDAQ Use Software to Monitor Its Employees? 2011-05-27T14:48:41Z It also has led to a second investigation aimed at consultants in the securities industry who pass off inside information as the product of legitimate research. General Ratko Mladic arrested in Serbia 2011-05-26T11:17:00Z Businesses, big banks and the securities industry lobbied the administration to exempt the financial instruments from the rules. Foreign Exchange Swaps to Be Exempt From New Rules 2011-04-29T22:59:12Z Government regulations, they note, dictate that some jobs — in the securities industry, for example — be held only by people with clean records. A Criminal Past Makes a Job Search Even Harder 2011-04-28T16:42:56Z Delivery versus payment is a securities industry procedure in which payment for a security must be made when the security is delivered. Dubai Stocks Advance to Three-Month High on Earnings Optimism 2011-04-17T12:37:01Z As part of a settlement, he was barred from the securities industry. DealBook: Scarred by the Dot-Com Bust, Reinvented for Social Media 2011-04-07T11:45:37Z But the city’s securities industry is still 20,000 jobs, or about 10 percent, shy of its peak in early 2008. New York City Fared Better in Recession Than Thought 2011-03-10T03:26:32Z Financial advisers continue to sell risky products to unsuspecting investors — a “widespread” problem for the securities industry, according to a new survey of investment professionals. DealBook: Survey Finds 'Widespread Mis-selling' by Brokers 2011-03-04T21:12:55Z The report estimates bonuses paid to securities industry employees who work in New York City. Average 2010 Wall St cash bonus fell to $128,530 2011-02-24T02:57:45Z New York City’s securities industry added 3,600 people from August to December, the report said. Wall Street Bonuses Fell 8% in 2010, N.Y.’s DiNapoli Says 2011-02-23T22:33:05Z Mr. DiNapoli said the rate of job loss in the city’s securities industry during the recession was more than triple the rate for the city overall. City Room: Wall Street Bonuses Drop, at Least the Cash Part of Them 2011-02-23T21:54:53Z He was also barred from the U.S. securities industry, SEC said. SEC says broker will pay $350,000 to Bronx nuns 2011-01-07T02:24:31Z Cuomo, New York’s governor- elect, sought a lifetime ban from the securities industry. Rattner Will Pay $10 Million to Settle Cuomo Probe 2010-12-30T20:33:01Z In a lawsuit filed in November, Mr. Cuomo was seeking to collect $26 million from Mr. Rattner and bar him from the securities industry in New York for the rest of his life. Rattner to Pay $10 Million to Settle Pension-Fund Case 2010-12-30T20:06:19Z It is said to be for $26 million, plus a lifetime securities industry ban.So it is said. Archive: Charlie Rose Talks to Steven Rattner 2010-12-30T19:13:30Z Cash bonuses to securities industry employees in New York City grew 17 percent, to $20.3 billion, for work in 2009, according to estimates in a report last month by the New York State Comptroller’s office. Banning Big Wall Street Bonuses Favored by 70% of Americans 2010-12-22T20:58:04Z Note, too, that brokers or other Wall Street veterans may become public arbitrators only five years after leaving the securities industry. Will New Rules Help Investors Win Disputes With Brokers? 2010-12-18T05:04:24Z The SEC is considering steps that could include a suspension or bar from the securities industry, a spokesman said. Life After Madoff's 'Big Lie' 2010-12-11T03:43:00Z Last week Mr. Cuomo filed two lawsuits against Mr. Rattner seeking to collect $26 million from him and seeking to ban him from the securities industry in New York for the rest of his life. Morris Pleads Guilty in 'Pay to Play' 2010-11-22T18:24:00Z Meeker fared better than analysts such as Henry Blodget, formerly of Merrill Lynch & Co., who was fined and banned for life from the securities industry; the SEC didn't accuse Meeker of wrongdoing. Morgan Stanley's Meeker Sees Online Ad Boom 2010-11-16T05:01:00Z The deal would involve Mr. Rattner paying about $6 million and being banned from certain work in the securities industry for two years. SEC Postpones Rattner Vote 2010-10-15T11:59:00Z Historically, at least one member of an arbitration panel had to come from within the securities industry on cases in which large sums were in dispute. Will New Rules Help Investors Win Disputes With Brokers? 2010-12-18T05:04:24Z Under the SEC settlement, Rattner would pay a $6 million fine and agree to a two-year ban from the securities industry, said another person familiar with the case. SEC settlement with Rattner on hold 2010-10-14T17:43:00Z One reason for the hit to New Yorker's pocketbooks is Wall Street's dominance among the state's employers; pay and job security are often highly volatile in the securities industry. NY personal income falls for 1st time in 70 years 2010-10-05T22:31:00Z Tellingly, his first guest was an old target, Henry Blodget, a Wall Street analyst whom Mr. Spitzer got banned for life from the securities industry. The TV Watch: ?Recovering? Politician, Aspiring ... ? 2010-10-05T04:30:00Z In the securities industry, you bar people for life. Executives with criminal records slip through FHA crackdown, documents show 2010-09-12T04:00:00Z Blodget was hit with $4 million in fines and repayments to settle the charges and was banned for life from the securities industry. Henry Blodget's Risky Bet on the Future of News 2010-07-08T21:00:00Z New programmes came into being almost overnight to stabilise farm incomes, finance home ownership, regulate banks and the securities industry and bring affordable electricity to millions of homes. A history lesson for George Osborne 2010-06-21T17:03:00Z Against the wishes of his high-powered economic team and top Congressional Democrats, Mr. Clinton in late 1995 was considering vetoing new legislation that was framed as way to halt frivolous lawsuits against the securities industry. President Clinton Speaks Out on Kagan, Recalling Her Work in the White House 2010-06-19T21:28:00Z The securities industry is already looking at harmonizing settlement times across the EU. EU hails Franco-German call for speculator clampdown 2010-06-09T12:58:00Z The fleet computers that drive today's securities industry are astounding—and unsettling. The Machines That Ate the Market 2010-05-20T21:00:00Z And Mr. Corzine hardly wants to go out on a low note, not when regulation is about to transform the securities industry and he has enough contacts in Washington to help shape the process. Corzine Starting Small in Bid for Redemption 2010-05-13T01:01:00Z Sanctions tend to include fines, expulsion from the securities industry and orders for changes in business practices. SEC may require more details of wrongdoing to be disclosed in settlements 2010-04-01T04:00:00Z Barred from ever working in the securities industry again, he returned to his previous career as a journalist and now runs a popular industry news blog, Business Insider. When the dotcom bubble burst the ideas didn't just float away 2010-03-14T00:06:00Z Guy Moszkowski, a securities industry analyst at Bank of America Merrill Lynch, said that the impact of a fiduciary standard was hard to determine because it would depend on how tightly the rules were interpreted. Trusted Adviser or Stock Pusher? Finance Bill May Not Settle It 2010-03-04T03:15:00Z Employment in the securities industry fell by just under 79,000 positions from the peak in June 2008 to last month, according to the Bureau of Labor Statistics. Reuters Breakingviews: Today?s Reversal vs. Dot-Com Bust 2010-02-25T04:28:00Z The report is an annual estimate by DiNapoli's office of bonuses paid to employees in the securities industry who are based in the city. Reid names three to deficit-reduction commission 2010-02-24T05:00:00Z |
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