Browsing: Regulatory

Another One Bites The Dust In Insider Trading Investigation

New York, NY – Although many in the U.S. financial markets were on vacation last week, U.S. prosecutors continued to toil in its ongoing investigation into alleged insider trading.  On ...

SEC to Banks: Accept Payments Through CCAs

New York – The U.S. Securities and Exchange Commission issued a letter clarifying that investment banks providing proprietary research can be paid through Client Commission Arrangements (CCAs).  This innocuous letter ...

Gradient Analytics Stung Once Again

According to an article published in the Wall Street Journal yesterday, independent research provider Gradient Analytics, has been named in a lawsuit brought by a publicly traded company accusing Gradient ... Sues Hedge Fund and Indie Research Firm

According to a press release published by the company last week, online retailer,, has filed suit against hedge fund Rocker Partners and research firm Gradient Analytics, claiming the companies conspired to ...
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