Nov 30 2006 | 10:57am ET
Last week, the National Futures Association granted Tom Mahl, who was formerly convicted of petit larceny, “conditional registration” as a floor trader.
Mahl’s initial registration attempt was denied by the NFA on May 9, 2006 on the grounds that he pled guilty to and was convicted of petit larceny. The NFA also alleged that Mahl failed to disclose his 2000 guilty plea and conviction for the misdemeanor offense on his previous floor trader application dated November 2004.
Mar 17 2014 | 9:30am ET
“Transparency” has become a touchstone for investors in the post-Madoff world but, according to Carl Lingenfelter, chief administration officer at Northern Trust Hedge Fund Services, it's a concept that has evolved over the past five years from fraud protection to risk management to investment performance. Read more…
Mar 10 2014 | 11:33am ET
A huge thank you to all of the people who helped make last Thursday’s HFC NY Open Your Heart to the Children Benefit such a success. The charity gala raised nearly $2 million to prevent and treat child abuse in New York, New Jersey and Connecticut. Read more…