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The market-making firm warns of costs and intrusions into investors' privacy.
By Chris DolmetschFebruary 12 -
The firm also asked for the suits filed in federal court to be thrown out.
By Chris DolmetschNovember 28 -
The RIA owner got insider tips from an attorney drunk on several glasses of wine, according to the SEC.
By Chris DolmetschAugust 17 -
Prosecutors say Galen Marsh called the stolen data "the world’s best cold-calling list."
December 22 -
BNP Paribas pleaded guilty to charges tied to a U.S. probe of sanctions violations, resolving a wide-ranging state and federal investigation with a penalty of at least $8.8 billion, the largest fine for such a case in history.
June 30 -
Barclays was so bent on lifting its private trading venue to the upper ranks of Wall Street dark pools that it lied to customers and masked the role of high- frequency traders, according to New Yorks attorney general.
By Keri GeigerJune 26