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Tag Archives: Daniel Roth

John Lothian Newsletter: Low volumes at U.S. exchanges keep earnings under pressure; PFG Has Regulators on Defense in Congress; Nomura CEO Watanabe to Resign Amid Scandal John Lothian Newsletter,Newsletter

As financial exchanges prepare to release earnings, concern is voiced about poor results stemming from ongoing low volumes.  The PFG fraud scandal brings regulatory leaders before Congress to testify about what went wrong.  In Japan, where systemic wrongdoing is also popping up here and there, the CEO of broker Nomura resigns in the midst of insider-trading problems at that firm.  In MarketsWiki.tv, you’ll find links to new interviews with various people in the industry. 

U.S. House Committee on Financial Services MF Global Investigation Testimony – Part 3 Regulation,Video

House Financial Services Subcommittee MF Global Part 3

Video of Part 3 of “The Collapse of MF Global” hearing of the House Financial Services Subcommittee on Oversight & Investigations, plus links to written testimony. Featuring: Panel I Laurie Ferber, General Counsel, MF Global Holdings Ltd. (View Written Testimony – PDF) Henri Steenkamp, Chief Financial Officer, MF Global Holdings Ltd. (View Written Testimony – PDF) Christine Serwinski, Chief Financial Officer for North America, MF Global Inc. (View Written Testimony – PDF) Edith O’Brien, Assistant Treasurer, MF Global Inc. (no written statement submitted) Panel II Diane M. Genova, Deputy General Counsel, JPMorgan Chase & Co. (View Written Testimony – PDF)…

MF Global News (12/8/11 AM) Blog,Regulation

The latest news on the MF Global bankruptcy and fallout, published in the John Lothian Newsletter (subscribe here) the morning of December 8, 2011. In the wake of the MF Global bankruptcy, John Lothian Newsletter has created a special section on JohnLothianNewsletter.com devoted to news, information and commentary. The section features archived news stories featured in the John Lothian Newsletter, analysis and breaking news. Check regularly for updates. See the MF Global news section here.