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Luis Aguilar

Type: Person

Name: Luis Aguilar

First reported May 20 2013 - Updated May 20 2013 - 1 reports

US Securities and Exchange Commission

SEC review of brokerages use of arbitration not seen in 2013

n"WASHINGTON May 20 (Reuters) - Wall Street brokerages' use of mandatory arbitration clauses merits a regulatory review, but the Securities and Exchange Commission will not have time to undertake one before 2014, an SEC commissioner said on Monday.The ... [Published Reuters - May 20 2013]

Entities: US Securities and Exchange Commission, Arbitration, Luis Aguilar, Money Market Fund

First reported May 19 2013 - Updated May 19 2013 - 1 reports

Moody's Corporation

Time to act on credit ratings agencies

THE FINANCIAL CRISIS struck in 2008. Two years later, Congress passed the Dodd-Frank financial reform law. Now, nearly three full years after that, the Securities and Exchange Commission finally has gottenaround to holding a hearing on the mess that is ... [Published Investment News - May 19 2013]

Entities: Credit Ratings, US Securities and Exchange Commission, Luis Aguilar, Dodd-Frank, Moody's Corporation

First reported May 19 2013 - Updated May 19 2013 - 1 reports

The future begins now

To the sounds of "Pomp and Circumstance," Leticia Fonesca, 22, of Brooklet stands on a chair to wave at family and friends at the start of Georgia Southern University's 2013 Spring Commencement at Paulson Stadium Saturday.More than 20,000 people packed ... [Published Statesboro Herald - May 19 2013]

Entities: Ogeechee Technical College, Georgia Chamber of Commerce, Michio Kaku, Luis Aguilar

First reported May 18 2013 - Updated May 18 2013 - 1 reports

Co-op annual meeting cut short, Wolberg presentation shut down by members

The annual members meeting of the Socorro Electric Cooperative took place May 15 at Finley Gym in Socorro.At 3 p.m., after introductions and an opening address by SEC general manager Joseph Herrera, board of trustees President Luis Aguilar said there ... [Published El Defensor Chieftain - May 18 2013]

Entities: Luis Aguilar, Attrition, Microsoft PowerPoint, Sustainment

First reported May 17 2013 - Updated May 17 2013 - 2 reports

New York Stock Exchange

Exchanges Under Fire As SEC Levies Record Fines

When the SEC hit the NYSE ( NYSE:NYX ) with a $5 million fine last year, it proved to be the opening salvo in its regulatory efforts with exchanges. With Nasdaq OMX ( NASDAQ:NDAQ ) about to settle for double that amount and CBOE ( NASDAQ:CBOE ... [Published Wall St. Cheat Sheet - May 17 2013]

Entities: Luis Aguilar, New York Stock Exchange, Nasdaq OMX Group Inc

First reported May 14 2013 - Updated May 15 2013 - 2 reports

Charles Schwab Corporation

Forced Arbitrations, Which Deny Investor Rights, Must End

from The Advisor's Professional LibraryThe Custody Rule and its Ramifications When an RIA takes custody of a client’s funds or securities, risk to that individual increases dramatically. Rule 206(4)-2 under the Investment Advisers Act (better known ... [Published AdvisorOne - May 15 2013]

Entities: Arbitration, Charles Schwab Corporation, Financial Industry Regulatory Authority

First reported May 09 2013 - Updated May 09 2013 - 1 reports

Aguilar sentenced to 25 years in prison

A Gainesville man was sentenced Wednesday in Hall County Superior Court to 25 years in prison by Judge Andrew Fuller.Last week a jury convicted Jose Luis Aguilar, 42, on charges of aggravated sexual battery and first-degree cruelty to children.Aguilar ... [Published Gainesville Times - May 09 2013]

Entities: Luis Aguilar, Andrew Fuller, prison

First reported May 08 2013 - Updated May 08 2013 - 3 reports

SEC's Aguilar calls for "robust supervision" of exchanges

9:51pm BST By (Reuters) - The Securities and Exchange Commission needs to rethink how it supervises financial marketplaces that police themselves such as the New York Stock Exchange and Nasdaq, an SEC commissioner said on Wednesday.So-called "self regulatory ... [Published Reuters UK - May 08 2013]

Entities: Luis Aguilar, US Securities and Exchange Commission, Organism, optionsXpress Holdings Inc, National Securities Company

First reported May 01 2013 - Updated May 02 2013 - 2 reports

Jury finds man not guilty of more serious abuse charges

GAINESVILLE - A Hall County jury Wednesday convicted a man on charges of sexual battery and first degree cruelty to children.Hall County District Attorney Lee Darragh said Jose Luis Aguilar had been on trial since last week."He has been on bond until ... [Published Access North GA - May 02 2013]

Entities: Luis Aguilar, Abuse, Conviction

First reported May 01 2013 - Updated May 01 2013 - 1 reports

SPEECH: SEC's Aguilar explains context of new swaps rules

Following on from today's story on the SEC's proposals for new rules governing securities based swaps, SEC Commissioner Luis Aguilar explains how the regulator is working to increase transparency and reduce systemic risk in the derivatives markets. The ... [Published FTSE Global Markets - May 01 2013]

Entities: Luis Aguilar

First reported Apr 30 2013 - Updated May 01 2013 - 5 reports

Democrats Urge SEC to Ban Mandatory Arbitration Clauses

Dozens of congressional Democrats are joining the push for the Securities and Exchange Commission to prevent brokerages from including mandatory arbitration clauses in their contracts with clients.Such clauses are standard in brokerage contracts, requiring ... [Published FOXBusiness.com - Apr 30 2013]

Entities: Arbitration, US Securities and Exchange Commission, Luis Aguilar, Financial Industry Regulatory Authority, Waiver

First reported Apr 30 2013 - Updated Apr 30 2013 - 1 reports

Aguilar testifies in child rape trial

A Gainesville man charged with rape and aggravated child molestation testified Monday in court.Jose Luis Aguilar faces four counts of rape, two counts of aggravated child molestation, one count of aggravated sodomy and seven counts each of incest, aggravated ... [Published Gainesville Times - Apr 30 2013]

Entities: Luis Aguilar, Deponent, Witness, Rape

More Content

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Finra Expands U.S. Stock-Market Surveillance [Published Tradesignal Online - May 22 2013]
Regulatory watchdog FINRA to oversee Direct Edg... [Published Reuters - May 22 2013]
SEC review of brokerages use of arbitration not... [Published Reuters - May 20 2013]
Time to act on credit ratings agencies [Published Investment News - May 19 2013]
The future begins now [Published Statesboro Herald - May 19 2013]
Co-op annual meeting cut short, Wolberg present... [Published El Defensor Chieftain - May 18 2013]
Exchanges Under Fire As SEC Levies Record Fines [Published Wall St. Cheat Sheet - May 17 2013]
Exchanges Under Fire As SEC Levies Record Fines [Published Wall St. Cheat Sheet - May 17 2013]
U.S. Regulators Target Exchanges [Published 4 Traders - May 17 2013]
UPDATE 1-White says SEC not now writing politic... [Published Reuters - May 16 2013]
White says SEC not now writing political spendi... [Published Sharenet - May 16 2013]
Stop Denying Investor Rights: End Forced Abitra... [Published AdvisorOne - May 16 2013]
Forced Arbitrations, Which Deny Investor Rights... [Published AdvisorOne - May 15 2013]
Warren’s Bank Trials, Visa Probe, Ratings Oliga... [Published BusinessWeek - May 15 2013]
Lawmakers Seeking to Ban “Unfair” Arbitration A... [Published JD Supra - May 14 2013]
Georgia Southern Celebrates Spring Commencement [Published Noodls - May 11 2013]
SEC Plan Targets 'Prime' Funds Held by Institut... [Published 4 Traders - May 09 2013]
Aguilar sentenced to 25 years in prison [Published Gainesville Times - May 09 2013]
SEC's Aguilar calls for "robust supervision" of... [Published Reuters UK - May 08 2013]
U.S. SEC's Aguilar calls for "robust supervisio... [Published Globe and Mail - May 08 2013]
U.S. SEC's Aguilar calls for "robust supervisio... [Published Reuters - May 08 2013]
Is Schwab’s Arbitration Win Really a Loss? [Published AdvisorOne - May 08 2013]
Dan Solin: A Chink in the Mandatory Arbitration... [Published Huffington Post - May 08 2013]
White Reported to Favor Lifting Ban on General ... [Published Cooley - May 07 2013]
Franken to SEC: Ban mandatory arbitration [Published Investment News - May 07 2013]
CEO-worker pay disparities widen as SEC delays ... [Published Charlotte Observer - May 05 2013]
Hedge funds prepare to strengthen compliance pr... [Published Corporate Secretary - May 03 2013]
Disclosed: The Pay Gap Between CEOs and Employees [Published BusinessWeek - May 02 2013]
U.S. SEC Proposes Rules For Cross-Border Swap T... [Published GARP - May 02 2013]
Jury finds man not guilty of more serious abuse... [Published Access North GA - May 02 2013]

Blogs

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Exchanges Under Fire As SEC Levies Record Fines [Published Wall St. Cheat Sheet - May 17 2013] When the SEC hit the NYSE ( NYSE:NYX ) with a $5 million fine last year, it proved to be the opening salvo in its regulatory efforts with exchanges. With Nasdaq OMX ( NASDAQ:NDAQ ) about to settle for double that amount and CBOE ( NASDAQ:CBOE ...
Exchanges Under Fire As SEC Levies Record Fines [Published Wall St. Cheat Sheet - May 17 2013] When the SEC hit the NYSE ( NYSE:NYX ) with a $5 million fine last year, it proved to be the opening salvo in its regulatory efforts with exchanges. With Nasdaq OMX ( NASDAQ:NDAQ ) about to settle for double that amount and CBOE ( NASDAQ:CBOE ...
Money Fund Managers Awaiting New S.E.C. Rules [Published AdBanks.net - Apr 14 2013] Stocks? They seem a little frothy. Bonds? Ugh — low rates, inflation worries. Real estate? Still a hard sell. For decades, investors have waited out financial fogs like these in the haven of money market mutual funds . Unfortunately, the outlook ...
Money Funds, Waiting for the Fog to Lift [Published AdBanks.net - Apr 12 2013] Stocks? They seem a little frothy. Bonds? Ugh — low rates, inflation worries. Real estate? Still a hard sell. For decades, investors have waited out financial fogs like these in the haven of money market mutual funds . Unfortunately, the outlook ...
Counterparties: Struggling with Enormous Conflicts [Published Felix Salmon - Feb 11 2013] Welcome to the Counterparties email. The sign-up page is here , it’s just a matter of checking a box if you’re already registered on the Reuters website. Send suggestions, story tips and complaints to Counterparties.Reuters@gmail.com . Sometimes ...

Audio/Video

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SEC Official Seeks Inquiry Into Twitter Hoax [Published WSJ.com Video - Business - Apr 24 2013]
SEC Official Seeks Inquiry Into Twitter Hoax [Published WSJ.com Video - Digits - Apr 24 2013]