Topic
Market Abuse
210 published works
Global Regulatory Enforcement Law Blog
Now THAT’s “Real Time” Enforcement
By Reed Smith
This post was written by Amy J. Greer. At the recent SEC Speaks conference, the recounting of a particular SEC Enforcement action caught my attention and I thought it particularly…
Corporate & Financial Weekly Digest
FSA Bans and Fines Corporate Finance Advisor for Market Abuse
By Edward Black
On February 7, the UK Financial Services Authority (FSA) announced that the Upper Tribunal (Tax and Chancery Chamber) had directed the FSA to fine David Massey £150,000 (approximately $240,000) and…
Corporate & Financial Weekly Digest
FSA Issues Two Final Notices for Market Abuse
By Edward Black
On December 14, the UK Financial Services Authority (FSA) published two final notices imposing fines and prohibition orders on two former employees of Pacific Continental Securities (UK) Limited (PCS). The…
Corporate & Financial Weekly Digest
Market Abuse Fine Increased by Appeal Tribunal
By Edward Black
On October 20, the Financial Services and Markets Tribunal issued its decision in the matter of Andre Jean Scerri and the UK Financial Services Authority (FSA). Mr. Scerri’s fine was…
Global Regulatory Enforcement Law Blog
Market Abuse and the May 6th “Flash Crash”: The SEC Expands its Enforcement Focus
By Reed Smith
This post was written by Amy Greer. Recently, I had the opportunity to moderate a panel hosted by the Pennsylvania Bar Institute on which Daniel M. Hawke, the Chief of…
Corporate & Financial Weekly Digest
FSA Fines Father and Son for Market Abuse
By Edward Black
On July 19, the UK Financial Services Authority (FSA) announced that it had fined Jeremy Burley £144,200 (approx. US$219,700) and his father, Jeffery Burley, £35,000 (approx. US$53,300) for market abuse…
Corporate & Financial Weekly Digest
FSA Fines Former CEO for Market Abuse
By Edward Black
On July 6, the UK Financial Services Authority (FSA) announced that it had fined Henry Cameron, CEO of Sibir, a former Alternative Investment Market (AIM)-quoted energy company, £350,000 (approximately $530,000)…
Corporate & Financial Weekly Digest
FSA Fines and Bans Oil Broker for Market Abuse
By Edward Black
On June 28, the UK Financial Services Authority (FSA) announced that it had fined Steven Perkins, a former oil broker, £72,000 (approximately $109,000) for market abuse and had banned him…
Corporate & Financial Weekly Digest
FSA Fines and Bans Commodity Broker
By Edward Black
On June 2, the UK Financial Services Authority (FSA) announced the imposition of a prohibition order on Andrew Charles Kerr together with a fine of £100,000 (approximately $145,000) for market…
Corporate & Financial Weekly Digest
FSA Imposes Ban and Highest-Ever Fine on Individual
By Edward Black
On May 20, the UK Financial Services Authority (FSA) announced that it had fined Simon Eagle £2.8 million (approximately $4 million) and prohibited him from working in financial services as…