Broker-Dealers

The Commission’s risk assessment program will continue to focus on those broker-dealers and affiliates that conduct a substantial securities business and thus are in a ...

Tannen negligently disregarded that the Brokers would be conducting unauthorized trades in these customer accounts. Tannen was compensated $20,000 for his actions

A Massachusetts broker-dealer and its top salesman will each pay $50,000 to settle SEC claims that they misled investors on their ability to execute sophisticated, ...

New order updates filing threshold for first time in nearly 30 years

The B-D violated the provision prohibiting lending shares to settle sale orders marked "long"

BNPP was aware of red flags that indicated that the Hedge Fund might not be able to deliver sufficient shares

SRO reveals current enforcement, examination and rulemaking priorities

The SEC has filed a lawsuit against a long-time broker-dealer, alleging that he pilfered nearly $1 million from elder clients—one of them a World War ...

FINRA would like to see firms consider the practices identified

The firm's compliance department knew it had monitoring issues