Browsing: Regulatory

Another One Bites The Dust In Insider Trading Investigation

01/03/2011
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

09/24/2010
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

02/24/2006
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 ...

Overstock.com Sues Hedge Fund and Indie Research Firm

08/16/2005
According to a press release published by the company last week, online retailer, Overstock.com, has filed suit against hedge fund Rocker Partners and research firm Gradient Analytics, claiming the companies conspired to ...
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