Tag: CFTC action against merrill lynch

December 22, 2014 BY Mike Fox

GAIN Capital shares pop 6% Monday on positive analyst comments

Investment bank Keefe, Bruyette & Woods raises earnings estimates for both GAIN Capital and FXCM, citing the higher-volatility environment.

August 27, 2014 BY Andrew Saks-McLeod

Merrill Lynch falls foul of CFTC order for supervision irregularities resulting in $1.2 million fine

US banking giant paid $318 million in exchange and clearing fees to the CME and Chicago Board of Trade, but had unexplained over-accruals of approximately $451,318 from 196 clients

Tag: CFTC action against merrill lynch

GAIN Capital shares pop 6% Monday on positive analyst comments

Merrill Lynch falls foul of CFTC order for supervision irregularities resulting in $1.2 million fine

Visa Says US Holiday Retail Spend Rose 4.8% YoY

SEC Charges Investment Adviser Dolphin Associates and Donald Netter for Misleading Investors

Fiserv to Acquire Payfare

Westpac New Zealand Admits to Misleading and Overcharging Over 24,000 Customers

Australian Arm of Sanlam Group to Have Compliance Processes Reviewed After Breaching Licensee Obligations