Tag: trading

The Impact of Compliance –Another Reversal For a Jefferies Trader

The key role of compliance threads through the continuing saga of Jefferies & Co. trader Jesse Litvak as well as a series of similar cases. Mr. Litvak is one of a number of traders who were indicted by the U.S.

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Trading in Opaque Markets: Fraud, Materiality and Compliance

This is the final segment of an occasional series regarding a group of criminal and civil securities fraud actions involving trading in opaque markets and the lessons that can be drawn the prosecutions; segment one is here, two here and

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