Foreign Collusion, Naked Shorting (Counterfeiting) & Money Laundering — All Illicit Wealth
Jay Clayton is the Chairman of the Securities and Exchange Commission (SEC). He was nominated to chair the U.S. Securities and Exchange Commission on January 20, 2017, by President Donald Trump and sworn in on May 4, 2017. Prior to joining the Commission, Chairman Clayton was a partner at Sullivan & Cromwell LLP, where he was a member of the firm’s Management Committee and co-head of the firm’s corporate practice.
Elad L. Roisman is a Commissioner of the Securities and Exchange Commission (SEC). He was appointed by President Donald Trump to the U.S. Securities and Exchange Commission and was sworn into office on September 11, 2018. Commissioner Roisman joined the SEC from the U.S. Senate Committee on Banking, Housing, and Urban Affairs, where he served as Chief Counsel.
Allison Herren Lee is a Commissioner of the Securities and Exchange Commission (SEC). She was appointed by President Donald Trump to the U.S. Securities and Exchange Commission, unanimously confirmed by the U.S. Senate, and sworn into office on July 8, 2019. Commissioner Lee brings to the SEC over two decades of experience as a securities law practitioner. Most recently, she has written, lectured, and taught courses internationally in Spain and Italy on financial regulation and corporate law.
4 May 2020
Law Offices of Howard G. Smith continues its investigation on behalf InnerWorkings, Inc. (“InnerWorkings” or “the Company”) ( INWK) investors concerning the Company and its officers’ possible violations of federal securities laws.
4 May 2020
Wolf Haldenstein Adler Freeman & Herz LLP announces that a federal securities class action lawsuit has been filed in the United States District Court for the District of Oregon on behalf of purchasers of the American Depositary Receipts (“ADR’s”) of Canaan Inc. (NASDAQ: CAN) pursuant and/or traceable to the Company’s initial public offering (“IPO”) commenced on or about November 20, 2019.
Interactive Brokers Violation Tracker
Parent Company Name: Interactive Brokers Group
Ownership Structure: publicly traded (ticker symbol IBKR)
Headquartered in: Connecticut
Major Industry: financial services
Specific Industry: stock brokerage
Penalty total since 2000: $1,256,000
Number of records: 5
Sean X. McKessy is an attorney for Phillips & Cohen. He was the first Chief of the SEC Office of the Whistleblower. Mr. McKessy helped establish the processes the office follows and the policies that guide the SEC whistleblower program. His office assessed and reviewed whistleblower tips, evaluated whistleblower award claims and made whistleblower award recommendations to the Commission.
Ken Norensberg is the Managing Director of Luxor Financial Group, Inc. a NY based Broker Dealer Consulting Firm that specializes in setting up Independent Broker Dealers. They are experts in New Member Applications, Continuing Membership Applications, Expansion Filings, FINRA and SEC Audits, Anti Money Laundering Reviews, Business Development and general compliance and business development services.
Thomas M. Joyce was chairman and CEO of Knight Capital Group from May 2002 until he resigned in July 2013. Joyce served as president of Knight Trading Group until January 2005 after being appointed chairman in December 2004, and has also served as head of brokerage operations since June 2005. Prior to joining Knight, he was briefly global head of trading with Sanford C. Bernstein & Co. after a 15-year stint with Merrill Lynch, where he last served as global head of equity e-commerce from 1999 until 2001. Joyce previously served on the board of directors of NASDAQ. Joyce also serves as a director of the Securities Industry and Financial Markets Association (SIFMA). Joyce received his A.B. in Economics from Harvard College in 1977.
John Chambers joins H. C. Wainwright & Co. from Roth Capital Partners where he had been Vice Chairman and Head of Healthcare Investment Banking. In his 28-year career, Mr. Chambers has played a senior role in the Life Sciences/Healthcare Investment Banking groups at Rodman & Renshaw, Cowen, Lehman Brothers and UBS Securities.
David Einhorn started his career with the hedge fund Siegler, Collery & Co. in 1993. In 1996, Einhorn founded Greenlight Capital Inc. with Jeffrey Keswin. The firm began with less than $1 million, and as of 2017, the firm had close to $10 billion assets under management. However, as of July 2018, after more than ten years of winning on Wall Street, investors estimate that Greenlight Capital has shrunk to about $5.5 billion in assets under management, reported The Wall Street Journal. Frustrated clients are pulling their investments from the firm.
Joseph Weinhoffer: Depository Trust & Clearing Corporation (DTCC) member of the board. He is Treasurer and Chief Investment Officer of EDF Man Capital Markets Inc. (MCM) with responsibility for firm financing, capital management, bank relationships, investing client segregated assets and supervising the Prime Services business. Prior to joining MCM in 2014, Weinhoffer was a Managing Director at Mitsubishi UFJ Securities (MUS) responsible for U.S. Treasury, repo and stock loan.
Gary H. Stern: Depository Trust & Clearing Corporation (DTCC) member of the board. He was President and Chief Executive Officer of the Federal Reserve Bank of Minneapolis from March 1985 to September 2009. Stern joined the Federal Reserve Bank of Minneapolis in January 1982 as senior vice president and director of research. Before joining the Minneapolis Fed, Stern was a partner in a New York-based economic consulting firm. Stern’s prior experience includes seven years at the Federal Reserve Bank of New York.
THE DOLLAR HAS NO INTRINSIC VALUE : DO YOUR ASSETS?
