Posts Tagged “Employees”
Schroders Employee Among Five Arrested in Insider Dealing Investigation
by The Compliance Exchange on January 23, 2013
A Schroders employee and four other people have been arrested in the latest swoop by the Financial Services Authority on suspected insider trading.
No Firings At SEC For Missing Madoff’s Massive Ponzi Scheme
by The Compliance Exchange on November 13, 2012
Seven employees of the Securities and Exchange Commission have been disciplined, but no one has been fired
SEC charges brokerage, former employees for “churning”
by The Compliance Exchange on September 11, 2012
Three former brokers at Atlanta-based JP Turner & Co were charged with “churning” by the U.S. Securities and Exchange Commission
JPMorgan Employees Sue Jamie Dimon, Ina Drew Over Losses
by The Compliance Exchange on May 23, 2012
Add it to the growing list of people going afterJPMorgan Chase. Employees are suing the bank over the $2 billion trading loss that they say hurt their retirement plans.
