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Trade Allocation (39)
Your search for Trade Allocation returned 39 results.
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9/13/2018 | Content area: Broker-Dealer
The SEC regularly touts its ever increasing, enhanced ability to analyze big data. That prowess with utilizing data analysis to detect suspicious trad...
8/23/2018 | Content area: Investment Adviser
BKS Advisors had a compliance manual that included a “Block Order Allocation” policy aimed at preventing unfair trade allocations.  But that policy di...
6/05/2018 | Content area: Investment Adviser
This proceeding arises from Freeman’s “cherry-picking” of profitable trades to benefit himself. From at least July 17, 2012, through mid-September 201...
9/12/2017 | Content area: Investment Adviser
First, he allocated favorable purchases to his personal accounts, while allocating losing trades to HFS client accounts. Typically, after purchasing a...
9/12/2017 | Content area: Investment Adviser
He carried out his fraudulent scheme by trading in an omnibus account and delaying allocation of those trades to a specific account until he had an op...
8/07/2017 | Content area: Investment Adviser
A peer passes on the firm's P&Ps for allocating fixed income trades.
6/29/2017 | Content area: Investment Adviser
A sentence has been handed down in a cherry-picking case that highlighted the SEC’s ever-increasing power to analyze trade data to detect suspicious t...
6/25/2017 | Content area: Investment Adviser
A peer shares a sample trade allocation policy.
6/01/2017 | Content area: Investment Adviser
If you don’t run the numbers in helping to ensure fair trading allocations, know OCIE will. A new cherry-picking enforcement action again stresses tha...
5/26/2017 | Content area: Investment Adviser
Balter allocated a disproportionate number of profitable trades to his own accounts and a disproportionate number of unprofitable trades to client acc...
4/04/2017 | Content area: Investment Adviser
These proceedings arise out of breaches of fiduciary duty by Katz in connection with his purchases and recommendations of mutual fund shares for advis...
4/04/2017 | Content area: Investment Adviser
These proceedings arise out of breaches of fiduciary duty, inadequate disclosures, and deficiencies in compliance policies and procedures by Credit Su...
3/15/2017 | Content area: Investment Adviser
The SEC's complaint alleges that Breton and Strategic Capital Management, LLC defrauded clients out of more than $1.3 million. Breton allegedly placed...
3/13/2017 | Content area: Investment Adviser
The Commission’s complaint alleged that, from at least January 2010 through March 2016, Breton defrauded at least 30 of SCM’s clients by allocating pr...
12/15/2016 | Content area: Investment Adviser
From at least January 2010 to at least August 2014, TPG and Phillips unfairly and systematically allocated profitable trades to a set of accounts whil...
10/06/2016 | Content area: Investment Adviser
Allegedly reaping over a half-million dollars in ill-gotten gains by “cherry-picking” profitable trades and “double-dipping” on fees has resulted in S...
5/26/2016 | Content area: Investment Adviser
Every quarter for the last decade, Jonathan Kaufman has been “getting my fingers” dirty combing and assembling his firm’s trading data to look for tre...
4/21/2016 | Content area: Investment Adviser
Message received. The morning of the SEC’s Compliance Outreach Program April 19 officials counted cherry-picking among current exam/enforcement focus ...
4/19/2016 | Content area: Investment Adviser
By knowingly or recklessly allocating profitable trades to certain clients at the expense of other clients and by making false and misleading statemen...
4/19/2016 | Content area: Investment Adviser
Hartshorn disproportionately allocated profitable trades to proprietary accounts and unprofitable trades to client accounts. Hartshorn purchased secur...


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