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Roosevelt lacked policies and procedures reasonably designed to prevent and detect these violations by its registered representatives
Welsh placed orders for new issue municipal bonds with Dockside and Murphy to obtain bonds for Roosevelt’s inventory when he should have known that they, ...
Schwartz earned substantial management fees, misled the advisory client who received the better trades into thinking RRBB and Schwartz were better at managing their money ...
A failure to deliver final prospectuses in shelf offerings triggers enforcement action
B-Ds supervisory systems and WSPs will be examined
Examiners wanted to see some review of an IA account after 12 months of inactivity
At the time he was fired, Tropiano was married to the daughter of Respondent. Tropiano went to see Respondent, his father-in-law, for advice on finding ...
The use of algorithms in trading is pervasive in today’s markets. Any analysis of the role that algorithmic trading plays in the US equity and ...
The Commission’s complaint further alleged that, of the $2.4 million in unlawful commissions generated from the unauthorized trading, Desiderio received over $390,000
Perez received $137,275 in commissions from his fraudulent conduct
Failures stemmed from allocations tied to day trade and buy-and-hold clients
Day Trade Clients received risk-free day trades with small profits while the Buy and Hold Clients effectively bore all market risk for the Day Trade ...
First Western will pay $200K penalty under settlement
SG Americas will pay a $3.1M fine for inaccurate blue sheets
FAV’s compliance department discovered the breaches of the limits in Section 12(d)(1)(A)
Tannen negligently disregarded that the Brokers would be conducting unauthorized trades in these customer accounts. Tannen was compensated $20,000 for his actions
The Commission is proposing a set of principles for DCMs to address the prevention, detection, and mitigation of market disruptions and system anomalies associated with ...
Before engaging in a principal trade, an adviser would first have to disclose certain information to the client
Firm made misrepresentations about how it handled certain trade orders
Clients, however, did not have this information available to them because execution costs from trading away were not visible to clients on their account documents ...

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