Tag Archives: Charges

Alternative Trading System Settles Charges It Failed to Disclose Trading by Affiliate

The SEC settled charges that Pipeline Trading Systems LLC and two of its top executives failed to disclose to customers of Pipeline's "dark pool" trading platform that the vast majority of orders were filled by a trading operation affiliated with… … Continue reading

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Portuguese Bank Settles New York and SEC Charges over Violating Registration Provisions

The New York Attorney General and the SEC both announced that they had settled investigations into Banco EspĂ­rito Santo S.A. (BES), a Portuguese bank, for the same alleged conduct. According to the New York AG, BES and its affiliates solicited… … Continue reading

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Ontario Court reverses Michael Schmidt acquittals on raw milk charges

Farmer Michael Schmidt has been convicted on 15 of 19 charges related to the sale of raw milk after the Ontario Court of Justice overturned a previous decision by a Justice of the Peace. Schmidt had been acquitted of all … Continue reading

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Section 75 of the Civil Service Law limits suspension without pay to thirty days notwithstanding the individual's being found guilty of the charges

Section 75 of the Civil Service Law limits suspension without pay to thirty days notwithstanding the individual's being found guilty of the charges Vargo v Safir, App. Div., First Dept., 291 A.D.2d 268 Although the Appellate Division did not have … Continue reading

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Depression resulting from being served disciplinary charges not a disability for the purposes of Workers' Compensation Benefits

Depression resulting from being served disciplinary charges not a disability for the purposes of Workers' Compensation Benefits Youngs v Village of Penn Yan, 291 AD2d 852 A Village of Penn Yan police officer was suspended without pay for 30 days … Continue reading

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