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ConvergEx Inc. news

  
Showing stories 1 - 10 of about 70   

Articles published

Convergex introduces marketplace's first new ADR depositary in nearly 20 years
New York - Convergex has announced that it has become the first financial institution to establish a new ADR Depositary for the marketplace in almost 20 years.
ConvergEx Settles Fraud Charges for $151 Million
The SEC settlement comes less than a month after a shake-up at ConvergEx in which Eric Noll, a former top official at Nasdaq OMX Group Inc., was appointed president. Mr. Noll is due to take over as CEO from Mr. Velli by the end of the year. A ConvergEx ...
ConvergEx Settles With SEC And Justice Department On Charges Of Pointlessly ...  Business Insider
ConvergEx Hit with $150M Fine for Overcharging Clients  aiCIO
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SEC Charges Former Top ConvergEx Executive in Hidden-Fees Probe
According to the complaint filed in U.S. District Court in Newark, N.J., Chief Executive Anthony G. Blumberg of the defunct ConvergEx Global Markets Ltd. and ConvergEx Global Markets engaged in a scheme by which orders were routed to an offshore ...
Former head of GTCR's ConvergEx charged in trading-fee scheme  Crain's Chicago Business
ConvergEx CEO charged with deceiving customers  MarketWatch
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ConvergEx Prime Services Introduces New Solution for Managing Liquid ...
Developed in cooperation with Portfolioshop Inc., a software development and data management firm based in New York, this new service provides daily reconciliation of complex data between the three parties that are required to support liquid ...
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ConvergEx Group's Bea Ordonez Wins Industry Trailblazer Award: Traders ...
... FINRA/SIPC); ConvergEx Depositary, Inc., and ConvergEx Solutions LLC, of which ConnEx, Jaywalk and LDB are divisions.
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Wall Street Names Janet Yellen "Person of the Year" and Issues Bullish ...
... Convergex offers products and services through Convergex Execution Solutions LLC (member NYSE/FINRA/SIPC); G-Trade Services LLC (member FINRA/SIPC); Westminster Research Associates LLC (member FINRA/SIPC); Convergex Depositary, Inc., ...
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ConvergEx Group's LiquidPoint Completes Integration With Actant Software
NEW YORK, May 1, 2014 /PRNewswire/ -- ConvergEx Group, a leading provider of global brokerage and trading-related services, today announced that its LiquidPoint options technology business has completed a software integration with Actant, a leading ...
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ConvergEx launches liquid alternatives management solution
Developed in cooperation with Portfolioshop Inc, a software development and data management firm based in New York, the service provides daily reconciliation of complex data between the three parties that are required to support liquid alternatives ...
Ex-ConvergEx Chief Charged With Securities Fraud
Prosecutors claim that brokers at ConvergEx Global Markets Ltd, a now-defunct brokerage unit previously registered with Bermuda routinely routed customers' orders to Bermuda-based unit so they could markup or markdown the price for executed orders.
Former ConvergEx Executive Charged with Fraud  Chief Investment Officer
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Ex-ConvergEx Trader Charged With Fraud Over Markup Plot
The accused ConvergEx Group broker-dealers allegedly routed securities orders to the firm's defunct Bermuda-based brokerage subsidiary, ConvergEx Global Markets Ltd., so that it could take markups or markdowns - which ConvergEx employees called ...