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Date/Time
Date(s) - 22 Nov 2012
7:00 AM - 7:00 PM
Location
United States
Category(ies)
Thanksgiving Holiday – U.S. Markets Closed
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C-I News Link
♦ SEC’s Khuzami Testimony on Settlements Deals with Violators. [sec]
♦ Facebook (FB) Opens for Trading – Follow Day One on Nasdaq. [google]
♦ Live Blog: Facebook’s Market Debut. [dealbook]
♦ Facebook’s Saverin to Pay `Hundreds of Millions’ in Tax. [bloomberg]
♦ Janus Capital Management Meets with Deutsche Bk. [flyonthewall]
♦ E*Trade Settles ARS Case, But Product Keeps On Giving Grief – Singer. [forbes]
FINRA SANCTIONS
Compliance Insights has summarized recent FINRA Disciplinary Actions vs. Firms & Individuals.CLICK BELOW to access case summaries and AWC documents for the past month.
PEOPLE MOVES
♦ Roger Jones to Mercuria Energy Trading SA
♦ Albert C. Maasland to Knight Capital Group, Inc.
♦ Paul Chen to DLA Piper in Silicon Valley
♦ Laura Readhead to Bank of America
♦ Marshall Stoddard, Christopher Exberger, and Charley Moore to Morgan Lewis
♦ Ilan Nissan and Christian Nugent to Goodwin Procter in New York
♦ Adele Hogan to Sheppard, Mullin, Richter & Hampton in New York
♦ Brian Belsky to BMO Capital Markets
♦ Michael Bodson to Depository Trust & Clearing
♦ James L. Amine to Credit Suisse
Get Details – Past & Present♦
