Browsing: Blog

Big Lots Drops Suit of Retail Intelligence Group

02/22/2011
New York, NY – Last week, Big Lots, a Columbus, Ohio-based discount retailer agreed to drop its lawsuit of independent channel checker, Retail Intelligence Group (RIG).  The final settlement won’t ...

Compliance Oversight of Quantitative Research

02/18/2011
New York – The SEC recently released an order relating to three AXA Rosenberg entities that has interesting implications for quantitative researchers: The SEC’s order instituting administrative proceedings against the firms ...

Apple’s Secret Sauce

02/17/2011
New York – Earlier this month, Integrity Research polled a group of analysts at several independent research providers chosen from its database of over 3,900 firms to ask them a ...

How Much Longer?

02/15/2011
New York – The insider trading investigation entered a new phase in February as the focus shifted from suppliers of inside information, mainly centered on expert network Primary Global Research ...

Integrity Research Associates Hires Compliance Expert

02/14/2011
Susan Mathews, former Senior Counsel in SEC’s Enforcement Division, will review the compliance practices of research firms New York – Integrity Research Associates LLC announced Monday that Susan Mathews, the former ...

Ticonderoga Said to Buy Soleil

02/11/2011
New York – Bloomberg Businessweek reports today that Ticonderoga Securities LLC, the New York-based broker-dealer started in 2009, has reached a preliminary agreement to buy independent research firm Soleil Securities ...

Socially Responsible Indices by MSCI

02/11/2011
New York – MSCI announced this week that it will consult with the investment community on the potential building of MSCI Global Socially Responsible Indices. This initiative aims to support ...

New Compliance Tool: Pliers

02/09/2011
New York  –  U.S. prosecutors moved closer to their reported target, hedge fund SAC Capital, with the arrest of two portfolio managers formerly employed by SAC.  The complaint also names ...

Putting Money Where Your Mouth Is

02/08/2011
New York – John Del Vecchio, a forensic researcher with previous stints at CFRA and Behind the Numbers, recently launched a novel new investment vehicle, a short-only actively managed ETF, ...

SEC Files Charges in Insider Trading Probe

02/07/2011
New York, NY – Last week, the Securities and Exchange Commission filed civil securities fraud charges against four consultants and two former employees of expert network, Primary Global Research, for ...
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