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Ex-Merrill staffer has 'squawk-box' conviction overturned

Gavel

A U.S. judge has vacated the conviction of a former Merrill Lynch administrative assistant who lied to a grand jury under pressure from her boss but then helped convict six former brokers and traders of generating illegal profits with information they overheard on a 'squawk box'.

Goldman fined for dark pool pricing

Goldman Sachs Blink

Goldman Sachs was fined $800,000 by the Financial Industry Regulatory Authority for failing to have procedures in place to ensure clients in its dark pool got the best price while trading stocks.

BNP Paribas said ignored warning signs prior to huge fine

Red Warning Light

In December 2005, ABN Amro reached an $80m settlement with US regulators over breaking sanctions against Iran, Cuba and Sudan. And for one compliance official at BNP Paribas – where concerns had been raised about the same issues – the cat was now out of the bag.

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