chicagosecuritieslawyerblog.com
Chicago Securities Lawyer Blog :: Published by Chicago, Illinois Securities Attorney :: Thomas F. Burke, P.C.
http://chicagosecuritieslawyerblog.com/securities-exchange-commission.html
53 W Jackson Blvd. Ste. 1441. Chicago, IL 60604. Recently in Securities Exchange Commission. SEC Trying to Even the Field for Bond Markets. July 9, 2014 by Thomas F. Burke, P.C. The Wall Street Journal reported that the Securities Exchange Commission ("SEC") wants to even the field in the bond market between small investors and Wall Street's biggest banks. The SEC unveiled plans to make real time pricing information for the corporate and municipal bond markets. Unlike the stock market, where exchanges pu...
chicagosecuritieslawyerblog.com
Chicago Securities Lawyer Blog :: Published by Chicago, Illinois Securities Attorney :: Thomas F. Burke, P.C.
http://chicagosecuritieslawyerblog.com/investments/investors-watch-as-federal-reserves-mood-may-be-changing.html
53 W Jackson Blvd. Ste. 1441. Chicago, IL 60604. Investors Watch as Federal Reserve's Mood May Be Changing. May 14, 2013 by Thomas F. Burke, P.C. The Federal Reserve's QE Infinity program may be finite rather than "infinite" after all. QE Infinity has been the tongue-in-cheek term given the Fed's Quantitative Easing program, which has expanded into their purchasing $85 billion per month in mortgage-backed securities. The news that the Fed may begin to tighten its monetary policies resulted in U.S....
chicagosecuritieslawyerblog.com
Chicago Securities Lawyer Blog :: Published by Chicago, Illinois Securities Attorney :: Thomas F. Burke, P.C.
http://chicagosecuritieslawyerblog.com/securities-exchange-commission/sec-trying-to-even-the-field-for-bond-markets.html
53 W Jackson Blvd. Ste. 1441. Chicago, IL 60604. SEC Trying to Even the Field for Bond Markets. July 9, 2014 by Thomas F. Burke, P.C. The Wall Street Journal reported that the Securities Exchange Commission ("SEC") wants to even the field in the bond market between small investors and Wall Street's biggest banks. The SEC unveiled plans to make real time pricing information for the corporate and municipal bond markets. Unlike the stock market, where exchanges publish buy and sell orders in real time, ther...
chicagosecuritieslawyerblog.com
Chicago Securities Lawyer Blog :: Published by Chicago, Illinois Securities Attorney :: Thomas F. Burke, P.C.
http://chicagosecuritieslawyerblog.com/finra/finra-stockbrokers-background-not-always-reported.html
53 W Jackson Blvd. Ste. 1441. Chicago, IL 60604. FINRA Stockbrokers' Background Not Always Reported. March 13, 2014 by Thomas F. Burke, P.C. FINRA Stockbrokers' Background Not Always Disclosed. Criminal charges not reported include burglary, forgery, larceny, theft, bad checks, identity theft, assault with a deadly weapon, stalking, sexual battery, false imprisonment, bail jumping and drug offenses. FINRA last year took disciplinary action against 129 brokers and firms for "reporting and filing violation...
chicagosecuritieslawyerblog.com
Chicago Securities Lawyer Blog :: Published by Chicago, Illinois Securities Attorney :: Thomas F. Burke, P.C.
http://chicagosecuritieslawyerblog.com/investments.html
53 W Jackson Blvd. Ste. 1441. Chicago, IL 60604. Steven Stahler Under FINRA Investigation. June 29, 2014 by Thomas F. Burke, P.C. On March 25, 2014 the Financial Industry Regulatory Authority ("FINRA"), through a Wells Notice, made a preliminary determination to recommend that disciplinary action be brought against Steven Stahler for potential violations of NASD Rule 2110, NASD Rule 2310 and FINRA Rule 2010. FINRA Rule 2010 entitled "Standards of Commercial Honor and Principles of Trade" is perhaps the s...
chicagosecuritieslawyerblog.com
Chicago Securities Lawyer Blog :: Published by Chicago, Illinois Securities Attorney :: Thomas F. Burke, P.C.
http://chicagosecuritieslawyerblog.com/futures-commission-merchant/commodity-futures-trading-commission-investigating-wash-sales-of-futures-contracts-at-cme-group-inc-.html
53 W Jackson Blvd. Ste. 1441. Chicago, IL 60604. Commodity Futures Trading Commission Investigating Wash Sales of Futures Contracts at CME Group, Inc. and IntercontinentalExchange, Inc. March 18, 2013 by Thomas F. Burke, P.C. The Wall Street Journal, Bloomberg, and Reuters have all reported that the Commodity Futures Trading Commission ("CFTC") is allegedly examining whether high-frequency-trading firms are violating rules by using wash trades to artificially inflate volume and distort markets in futures...
chicagosecuritieslawyerblog.com
Chicago Securities Lawyer Blog :: Published by Chicago, Illinois Securities Attorney :: Thomas F. Burke, P.C.
http://chicagosecuritieslawyerblog.com/investments/the-wolf-of-wall-street.html
53 W Jackson Blvd. Ste. 1441. Chicago, IL 60604. The Wolf of Wall Street. January 20, 2014 by Thomas F. Burke, P.C. I have attached an article by Jonathan Weil that everyone should find interesting. Wolf of Wall Street' Offspring Never Quite Die. Veale, who declined to comment when contacted by a Bloomberg News reporter, worked at Stratton Oakmont from 1995 to 1996, the year that the Lake Success, New York-based firm was shut down by regulators. He has worked at 17 different firms since then, includi...
chicagosecuritieslawyerblog.com
Chicago Securities Lawyer Blog :: Published by Chicago, Illinois Securities Attorney :: Thomas F. Burke, P.C.
http://chicagosecuritieslawyerblog.com/securities-exchange-commission/jp-morgan-admits-wrongdoing-in-sec-settlement.html
53 W Jackson Blvd. Ste. 1441. Chicago, IL 60604. JP Morgan Admits Wrongdoing in SEC Settlement. September 26, 2013 by Thomas F. Burke, P.C. As part of the $920 million agreement with regulators in the U.S. and U.K., including the U.S. Securities and Exchange Commission. White and Republican commissioner Daniel Gallagher were recused. White had previously represented the bank, according to public disclosures, and Gallagher's former law firm - Wilmer Cutler Pickering Hale and Dorr LLP - was lead counse...
chicagosecuritieslawyerblog.com
Chicago Securities Lawyer Blog :: Published by Chicago, Illinois Securities Attorney :: Thomas F. Burke, P.C.
http://chicagosecuritieslawyerblog.com/investments/companys-failure-to-disclose-or-misrepresent-its-status-grounds-for-lawsuit.html
53 W Jackson Blvd. Ste. 1441. Chicago, IL 60604. Company's Failure to Disclose or Misrepresent Its Status Grounds for Lawsuit. March 5, 2013 by Thomas F. Burke, P.C. When it comes to selling stock, companies must be aware of their obligations to their investors. Among the most important of these obligations is the necessity of properly representing to investors the financial and legal status of the company and how that might affect the company's stocks. Had this information been made available to investo...
chicagosecuritieslawyerblog.com
Chicago Securities Lawyer Blog :: Published by Chicago, Illinois Securities Attorney :: Thomas F. Burke, P.C.
http://chicagosecuritieslawyerblog.com/finra/oppenheimer-fined-for-failing-to-supervise-mark-hotton.html
53 W Jackson Blvd. Ste. 1441. Chicago, IL 60604. Oppenheimer Fined for Failing to Supervise Mark Hotton. April 15, 2015 by Thomas F. Burke, P.C. Firm Fined $2.5 Million and Ordered to Pay Restitution of $1.25 Million for Failing to Supervise Former Oppenheimer Broker Mark Hotton. A former Oppenheimer broker who stole money from his customers and excessively traded their brokerage accounts. FINRA permanently barred Mark Hotton from the securities industry in August 2013. Oppenheimer Fined for Failing to S...