Trading

Altered reports were delivered to OCIE and Enforcement by the CCO

Keep an eye out for account takeover schemes and new account fraud

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 ...