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Goldman Sued For $491m


The National Credit Union Administration has filed suit in California against Goldman Sach alleging violations of US federal and state securities laws, as well as misrepresentations in the sale of securities to now-failed U.S. Central and Western Corporate federal credit unions.

FINRA Fines Citi For Failing To Supervise Sales Assistant

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WASHINGTON – The Financial Industry Regulatory Authority (FINRA) has announced that it has fined Citigroup Global Markets, Inc. $500,000 for failing to supervise Tamara Moon, a former registered sales assistant at the firm's branch office in Palo Alto, California. Over an 8 year period, Moon misappropriated $749,978 from 22 customers, falsified account records and engaged in unauthorized trades in customer accounts.




Which countries are happiest ?

Every year the UN compiles a list of the world’s happiest countries. The most recent survey, from 2013, ranked more than 20 countries above the UK. So what puts a smile on faces from Copenhagen to Colchester?

Barclays Sign

Barclays hires in equity sales

Barclays has hired 11 people for Japanese equity sales and trading since July and plans to add about four more by the end of the year amid a resurgence in the world’s second-largest stock market.