Losses & lawsuits

• Regulation

Patriot Act put into play for first time by SEC

LOSSES & LAWSUITS

• 01 Jun 2006

• Regulation

PwC accounting firm grounded in Tokyo

LOSSES & LAWSUITS

• 01 Jun 2006

• Regulation

Liberty fined $600,000 for AML breach

LOSSES & LAWSUITS

• 01 Jun 2006

• Regulation

Salomon Grey expelled by NASD

LOSSES & LAWSUITS

• 01 Jun 2006

• Regulation

Morgan Stanley settles email lawsuit

LOSSES & LAWSUITS

• 01 Jun 2006

• Regulation

Crooks scam Shell customers for £1million

LOSSES & LAWSUITS

• 01 Jun 2006

• Regulation

Moving forward on the loss data challenge

LOSS DATA

• 01 May 2006

• Regulation

Deutsche Bank falls foul of the FSA and pays the price with a £6 million fine

LOSSES & LAWSUITS

• 01 May 2006

• Regulation

NAB 'rogue' currency options trader receives 16-month prison sentence

LOSSES & LAWSUITS

• 01 May 2006

• Regulation

CFTC slap $32 million in fines on 'FX swindlers'

LOSSES & LAWSUITS

• 01 May 2006

• Regulation

UFJ clerk convicted of theft to feed gambling habit

LOSSES & LAWSUITS

• 01 May 2006

• Regulation

Two named in $6.7 million illicit gains schemes

LOSSES & LAWSUITS

• 01 May 2006

• Regulation

Hedge Fund Market Abuse Case Results In Fines

LOSSES & LAWSUITS

• 01 Apr 2006

• Regulation

CFA fined for anti-fraud control failure

LOSSES & LAWSUITS

• 01 Apr 2006

• Regulation

Savvis settles with Amex over 'strippergate'

LOSSES & LAWSUITS

• 01 Apr 2006

• Regulation

Settlement reached between Dow Jones and Cantor Fitzgerald over broker's data usage

LOSSES & LAWSUITS

• 01 Apr 2006

• Regulation

Bear Stearns settles SEC fraud charges

LOSSES & LAWSUITS

• 01 Apr 2006

• Regulation

JP Morgan Securities Asia receives 15-day suspension of stock index futures

LOSSES & LAWSUITS

• 01 Apr 2006

• Regulation

Morgan Stanley fined $15million over e-mail records

LOSSES & LAWSUITS

• 01 Mar 2006

• Regulation

AIG pays $1.6bn over securities fraud charges New York

LOSSES & LAWSUITS

• 01 Mar 2006

• Regulation

Natwest three to be extradited to the us on fraud charges

LOSSES & LAWSUITS

• 01 Mar 2006

• Regulation

NYSE fines firms for operational failures

LOSSES & LAWSUITS

• 01 Mar 2006

• Regulation

Citigroup Clears The Decks With LSE

LOSSES & LAWSUITS

• 01 Mar 2006

• Regulation

New CIO for TSE

LOSSES & LAWSUITS

• 01 Feb 2006