EMS also committed additional violations by failing to make and keep true and accurate order memoranda and copies of all written communications sent by such ...
FINRA has released its first consolidated findings from recent examinations, delivering on a pledge made by the SRO’s President/CEO Robert Cook at the start of ...
Goldman’s documentation of its compliance with Reg SHO in its locate log was inaccurate in that Goldman failed to sufficiently differentiate between locates that
were filled ...
Hall played a significant role in bringing the violations to the attention of regulators. Penson failed to disclose the non-compliant procedures over the course of ...