Tag Archives: trades

Republic and PDVSA Bonds: No Trades With Friends and Family

Mark Weidemaier and Mitu Gulati A few days ago, we wondered why the U.S. government had constrained U.S. holders of PDVSA debt instruments to sell only to non-U.S. parties. The constraint would likely kill liquidity for these bonds and impose … Continue reading

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Edward Wedbush Under Regulatory Scrutiny by NYSE Concerning Allegations of Failure to Supervise Certain Trades

On October 16, 2017, NYSE Regulation — the regulatory enforcement subsidiary of NYSE Arca, Inc. (“NYSE”) — filed a Complaint against Wedbush Securities Inc. (“Wedbush”) (CRD# 877), and its founder, Mr. Edward Wedbush.  The Complaint centers on Wedbush’s alleged systemic … Continue reading

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Ameriprise Rep Barred for Unauthorized Mutual Fund Trades

In today's BrokeAndBroker.com Blog we consider the case of a former Ameriprise stockbroker accused of entering 30 unauthorized mutual fund purchases valued at some $260,000. Her brokerage firm seems to have been on top of its compliance duties, and busted the … Continue reading

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Ladder and Step Accidents in the Maritime Trades

There are times when a maritime worker must access high areas on a vessel or travel from one deck to another. In these instances, it makes sense that ladders and steps would be employed. If working at sea weren’t already … Continue reading

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FSB, Basel Committee, CPMI and IOSCO launch surveys on incentives to centrally clear OTS derivatives trades

The Financial Stability Board (FSB), the Basel Committee on Banking Supervision (Basel Committee), the Committee on Payments and Market Infrastructure (CPMI) and the International Organisation of Securities Commissions (IOSCO) have launched surveys as part of their joint work to review … Continue reading

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