News and commentary about white-collar crime, enforcement, and compliance
Harry Cassin
Publisher and Editor
Andy Spalding
Senior Editor
Jessica Tillipman
Senior Editor
Bill Steinman
Senior Editor
Richard L. Cassin
Editor at Large
Elizabeth K. Spahn
Editor Emeritus
Cody Worthington
Contributing Editor
Julie DiMauro
Contributing Editor
Thomas Fox
Contributing Editor
Marc Alain Bohn
Contributing Editor
Bill Waite
Contributing Editor
Russell A. Stamets
Contributing Editor
Richard Bistrong
Contributing Editor
Eric Carlson
Contributing Editor
Deutsche Bank Securities Inc. paid a $6 million fine for failing to provide complete and accurate trade data to FINRA and the SEC.
It was the biggest fine the Wall Street regulator has imposed for so-called blue sheet violations.… Continue Reading
Credit Suisse Securities (USA) LLC agreed Monday to pay $4.25 million for submitting deficient information to the SEC over a two-year period about trades by customers, commonly referred to as “blue sheet data.”… Continue Reading