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stock share trading traders
The rule amendments initially advanced in 2016 have been a long time coming
The adviser didn't disclose that some Clients paid a lower commission rate than others
stock share trading traders
Enforcement stepping up interest in churning
An example of a compliance policy and procedures
stock share trading traders
Market manipulation scheme employed by China-based traders
Proposals aimed at improving secondary market structure
The Ukraine has been getting its fair share of press these days. This time it’s tied to the final judgments against a brokerage firm and ...
Elad Roisman
Many have struggled to define “best execution” and an SEC Commissioner would like to see the Commission add some clarity. Elad Roisman is urging the ...
Agarwal took short positions in U.S. Treasury Bonds (“USTs”) that exceeded his trading mandate, resulting in large losses. At the same time, Agarwal mismarked certain ...
The Commission’s complaint alleged, in substance, that from at least January 2012 through July 2016, Strong Investment Management (“Strong”) and its co-founder, owner, president, and ...
SEC Obtains Final Judgments and Bars Against Former Investment Adviser and Senior Officers for Fraudulent "Cherry-Picking" Scheme Litigation Release No. 24615 / September 25, 2019 ...
SEC Obtains Final Judgment Against Investment Adviser in Cherry-Picking Scheme Litigation Release No. 24589 / September 10, 2019 Securities and Exchange Commission v. Strategic Capital ...
Deficient trading reviews conducted by an inexperienced and untrained compliance associate has led to SEC charges that a New York-based broker-dealer published quotes and made ...
You won’t find an Advisers Act rule directing you how to handle trade errors.
It appears that Brenda Smith had a broad reach into the pockets of her hedge fund investors.  The SEC has charged Smith, her hedge fund ...
LWA’s compliance policies and procedures manual required investment adviser representatives to pre-clear and obtain written pre-approval before buying or selling most securities, such as ...
Buchanan engaged in undisclosed “cherry-picking,” a practice of fraudulently allocating profitable trades in an omnibus account to favored accounts, as an investment adviser representative ...
Financial Sherpa and its sole principal are now carrying the heavy weight of an SEC enforcement action and industry bar tied to a cherry-picking scheme ...
Two more enforcement actions simultaneously announced by the SEC evidence the Commission’s continued focus on abusive practices in the handling of “pre-released” American Depositary Receipts. ...
Respondents’ cherry-picking of profitable option trades financially benefited Beyersdorf and his wife and disadvantaged his clients. From October 2017 through April 2018, Beyersdorf and his ...
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