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Date 04/06/2013
CFTC: Federal Court Orders Utah Residents Christopher D. Hales, Eric A. Richardson And Their Company Bentley Equities, LLC To Pay More Than $2.7 Million In Sanctions For Fraud
The U.S. Commodity Futures Trading Commission (CFTC) announced today that it obtained federal court orders for more than $2.7 million in disgorgement and civil monetary penalties against Bentley Equities, LLC (Bentley), a Delaware corporation, and its principals, Christopher D. Hales (Hales) and Eric A. Richardson (Richardson), resolving the CFTC’s May 2, 2012 Complaint charging them with fraud. (See CFTC Press Release: 6250-12, May 3, 2012.) Hales is currently an inmate at the Federal Correctional Institution in Safford, Arizona, and Richardson is currently an inmate at the Florence Federal Correction Complex in Florence, Colorado.
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Date 04/06/2013
TMX Group Consolidated Trading Statistics - May 2013 - Toronto Stock Exchange, TSX Venture Exchange, TMX Select, Alpha, Montreal Exchange, NGX, Montreal Exchange Achieves Two Monthly Trading Volume Records
TMX Group Limited today announced May 2013 trading statistics for its diversified group of exchanges – Toronto Stock Exchange, TSX Venture Exchange, Montreal Exchange (MX), Natural Gas Exchange (NGX), TMX Select and Alpha.
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Date 04/06/2013
Trading Technologies Launches Connectivity To Eris Exchange - New Gateway Also Links TT Clients To GovEx
Trading Technologies International, Inc. (TT), a global provider of high-performance trading software for derivatives professionals, and Eris Exchange, a U.S.- based futures exchange offering swap futures as a capital-efficient alternative to traditional OTC interest rate swaps, today announced that TT has released its connection to the Eris SwapBook™ electronic trading platform.
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Date 04/06/2013
Borsa İstanbul And Tirana Stock Exchange Sign A Memorandum Of Understanding
The MoU signed by Mr. Mustafa BALTACI, Executive Vice President of Borsa İstanbul, and Ms. Anila FURERAJ, CEO of Tirana Stock Exchange is expected to be developing of the existing cooperation between Borsa İstanbul and Tirana Stock Exchange.
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Date 04/06/2013
CFTC’s Division Of Clearing And Risk Provides No-Action Relief From The Clearing Requirement For Swaps Entered Into By Eligible Treasury Affiliates
The Division of Clearing and Risk (Division) of the Commodity Futures Trading Commission (CFTC) today issued a no-action letter providing eligible treasury affiliates that enter into swaps that are subject to the clearing requirement in section 2(h)(1) of the Commodity Exchange Act (CEA) and part 50 of the CFTC’s regulations, with relief from the clearing requirement, subject to certain conditions and requirements.
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Date 04/06/2013
FINRA Orders Wells Fargo And Banc Of America To Reimburse Customers More Than $3 Million For Unsuitable Sales Of Floating-Rate Bank Loan Funds - FINRA Also Fines Wells Fargo $1.25 Million And Banc Of America $900,000
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined two firms a total of $2.15 million and ordered the firms to pay more than $3 million in restitution to customers for losses incurred from unsuitable sales of floating-rate bank loan funds. FINRA ordered Wells Fargo Advisors, LLC, as successor for Wells Fargo Investments, LLC, to pay a fine of $1.25 million and to reimburse approximately $2 million in losses to 239 customers. FINRA ordered Merrill Lynch, Pierce, Fenner & Smith Incorporated, as successor for Banc of America Investment Services, Inc., to pay a fine of $900,000 and to reimburse approximately $1.1 million in losses to 214 customers.
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Date 04/06/2013
New York Attorney General Schneiderman Sues HSBC For Holding Hundreds Of Struggling Homeowners In Legal Limbo - Suit Alleges That By Failing To Follow New York Law, HSBC Has Trapped Hundreds Of New Yorkers Facing Foreclosure In The “Shadow Docket” - Schneiderman: The Law Is Clear And I Will Prosecute Any Lender That Denies New York Homeowners Their Legally Mandated Right To Negotiate Alternatives To Foreclosure
Attorney General Eric T. Schneiderman today filed a lawsuit against HSBC Bank USA and HSBC Mortgage Corporation (USA) for failing to follow state law related to foreclosure actions, putting homeowners at greater risk of losing their homes. Under state law, residential mortgage lenders, servicers and their agents who sue to foreclose on a homeowner are required to file a “Request for Judicial Intervention” (RJI) when they file their proof of service with the county clerk. The process mandates that the lender then attend a settlement conference within 60 days. The purpose of this court-supervised conference is to provide an opportunity for borrowers to negotiate alternatives to foreclosure, including loan modifications that make mortgage payments more affordable, with the intent that they avoid losing their homes.
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Date 04/06/2013
Direct Edge Trading Notice #13-23: Logical Port Fee Changes Effective July 1, 2013
Effective Monday, July 1, 2013, Direct Edge® will reduce the number of free logical ports for access to EDGA Exchange (EDGA®) and EDGX Exchange (EDGX®) from five to two free ports per exchange, pending filing with the Securities and Exchange Commission (SEC).
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Date 04/06/2013
TSX Block List Leaders By Volume And By Values – May 2013
Block Trade Summaries
Block trades are large trades with a volume of 10,000 shares or more and a value of $100,000 or more. The TSX Block List Leaders lists shows the top ten brokers chosen by their customers to execute these significant block trades on Toronto Stock Exchange. For a full list of block trades for all brokers, get our Broker Block Summary.
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Date 04/06/2013
UK's Financial Conduct Authority To Ban The Promotion Of UCIS And Certain Close Substitutes To Ordinary Retail Investors
The Financial Conduct Authority (FCA) has published final rules to ban the promotion of Unregulated Collective Investment Schemes (UCIS) and certain close substitutes (together to be known as Non-Mainstream Pooled Investments (NMPIs)) to the vast majority of retail investors in the UK.
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