Hugh Kennedy
Not adequately disclosing the risks and costs of a foreign exchange program have led to separate SEC settlements for Morgan Stanley Smith Barney and Citigroup ...
A failure to adopt and implement compliance P&Ps reasonably designed to ensure its clients weren’t overbilled according to the terms of their advisory agreement produced ...
The SEC wants it known that it has the expertise to examine complex algorithmic strategies and that the Commission focuses on all corners of the ...
ITG has settled SEC charges that the New York-based broker-dealer engaged in “improper practices” involving the pre-release of American Depositary Receipts from 2011 to 2014. ...
A “listening tour” commenced last August by then new FINRA president/CEO Robert Cook will bear fruit this year. Based on feedback that broker-dealers would like ...
There can be no mistaking that the SEC is diligently examining broker-dealers’ trading data and has even greater tools at its disposal to do so. ...
The former president and CEO of a Connecticut-based dual registrant and his lawyer friend of over 25 years have settled SEC charges of fraudulently scheming ...
In an SEC enforcement first, the Commission has charged hacking into the computer networks of two prominent but unidentified New York-based law firms in a ...
A split decision by the U.S. Court of Appeals for the 10th Circuit in Denver has given a rare victory to critics of the SEC’s ...
The doors at Washington regulators are opening and closing fast and furiously these days. The day before the SEC got word of its new chairman ...