Content Areas

Search Terms

Category

 See More >

Date Range

From:
To:

Topics

Clear
Trading (290)
Your search for Trading returned 290 results.
Sorted by Date

9/10/2019 | Content area: Investment Adviser
SEC Obtains Final Judgment Against Investment Adviser in Cherry-Picking Scheme Litigation Release No. 24589 / September 10, 2019 Securities and Exch...
9/05/2019 | Content area: Broker-Dealer
Deficient trading reviews conducted by an inexperienced and untrained compliance associate has led to SEC charges that a New York-based broker-dealer ...
8/29/2019 | Content area: Investment Adviser
Nobody likes it when a finger gets pointed their direction. Skip casting blame and you may get a clearer picture of how many errors your traders make....
8/29/2019 | Content area: Private Fund
It appears that Brenda Smith had a broad reach into the pockets of her hedge fund investors.  The SEC has charged Smith, her hedge fund Broad Reach Ca...
8/27/2019 | Content area: Investment Adviser
A peer shares the firm's P&Ps and reporting form for handling trade errors.
8/26/2019 | Content area: Investment Adviser
LWA’s compliance policies and procedures manual required investment adviser representatives to pre-clear and obtain written pre-approval before buyin...
8/26/2019 | Content area: Investment Adviser
Buchanan engaged in undisclosed “cherry-picking,” a practice of fraudulently allocating profitable trades in an omnibus account to favored accounts, ...
8/22/2019 | Content area: Investment Adviser
Financial Sherpa and its sole principal are now carrying the heavy weight of an SEC enforcement action and industry bar tied to a cherry-picking schem...
8/22/2019 | Content area: Broker-Dealer
Two more enforcement actions simultaneously announced by the SEC evidence the Commission’s continued focus on abusive practices in the handling of “pr...
8/20/2019 | Content area: Investment Adviser
Respondents’ cherry-picking of profitable option trades financially benefited Beyersdorf and his wife and disadvantaged his clients. From October 2017...
7/25/2019 | Content area: Broker-Dealer
FINRA still wants to hear if your firm has any current or planned activities tied to digital assets, including cryptocurrencies and other virtual coin...
7/11/2019 | Content area: Broker-Dealer
There is a price to pay for not enforcing your brokerage firm’s written supervisory procedures. Summit Brokerage Services WSPs stated that the upwards...
6/27/2019 | Content area: Broker-Dealer
Donald Fowler previously had the inglorious distinction of being the impetus for an SEC investor alert warning about excessive trading and churning th...
6/03/2019 | Content area: Broker-Dealer
From January 2013 to February 2015, Palermo benefited from a manipulative trading scheme carried out by his long-time friend, a day trader (“Trader A”...
5/16/2019 | Content area: Investment Adviser
In May 2009, JS Oliver requested that the Soft-Dollar Broker reimburse JS Oliver $329,365 using soft dollar credits for a payment to Mausner’s ex-wife...
5/06/2019 | Content area: Broker-Dealer
Roveccio recommended to seven customers – Customers 5 through 11 – a pattern of high cost, in-and-out trading without any reasonable basis to believe...
5/02/2019 | Content area: Broker-Dealer
When you are the named principal in your firm’s WSPs responsible for reviewing the suitability of your reps’ recommendations, claiming that you rely o...
3/28/2019 | Content area: CPO/CTA
After studying futures orders over the past six years, the CFTC concludes that more and more transactions are automated as opposed to manual and almos...
3/20/2019 | Content area: Broker-Dealer
This is the SEC form required to be filed by large traders.
3/04/2019 | Content area: Broker-Dealer
Gennity recommended to four customers a pattern of high-cost, in-and-out trading without any reasonable basis to believe that his customers could make...


Did you find what you were looking for?



Leave your comments below regarding what you are looking for and someone from our team will reach out to help you.


© 2019 PEI Media LLC. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US