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When is an Unregulated Derivatives Dealer Considered to be a “Stockbroker” for Purposes of the Bankruptcy Code?, Thomson/West Legalworks

In the Chapter 11 proceeding in the matter of Refco, Inc., et al., case number 05-6006 (RDD), involving not only Refco, Inc., but its unregulated affiliate Refco Capital Markets, Ltd. (“RCM”), a number of issues were raised after the Court initially held that RCM, a Bermuda company, was a “stockbroker” under the Bankruptcy Code. The […]

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