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Trading (279)
Your search for Trading returned 279 results.
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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...
3/04/2019 | Content area: Broker-Dealer
Gennity recommended to four customers – Customers 1 through 4 – a pattern of high cost, in-and-out trading without any reasonable basis to believe tha...
1/24/2019 | Content area: Broker-Dealer
FINRA sees growing problems with reps’ discretionary trading, and the range of conduct under scrutiny is broad. The SRO identified discretionary accou...
1/17/2019 | Content area: Investment Adviser
IA Watch has obtained a copy of an Excel file demonstrating the trade blotter format OCIE would like firms to submit during an SEC exam.   The new for...
12/19/2018 | Content area: Broker-Dealer
The Securities and Exchange Commission (“Commission” or “SEC”) is adopting a new rule of Regulation National Market System (“Regulation NMS”) under th...
11/13/2018 | Content area: Broker-Dealer
This document makes technical corrections to a rule that was published in the Federal Register on August 7, 2018.
11/07/2018 | Content area: Broker-Dealer
ITG did not adequately limit access to GATE, a firm system containing all order flow routed through ITG, including open child-level POSIT order inform...
10/25/2018 | Content area: Broker-Dealer
A cryptocurrency trading suspension and an emergency halting of a planned initial coin offering have both been initiated by the SEC this month. The ma...
9/28/2018 | Content area: Broker-Dealer
The SEC's complaint alleges that Bressman placed trades using the allocation account and cherry-picked profitable trades, which he then transferred to...
9/27/2018 | Content area: Investment Adviser
The end of September represents the end of the SEC’s 2018 fiscal year and the inevitable analysis of its Enforcement Division’s statistics. But the di...
9/27/2018 | Content area: Investment Adviser
The manner in which Harrison effected the trades on behalf of Putnam resulted in undisclosed favorable treatment of certain advisory clients over othe...
9/20/2018 | Content area: CPO/CTA
Be on the lookout for signs of a trader who immediately cancels futures orders just after placing them.   That behavior is highlighted in a new CFTC e...


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