Trading

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 ...

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 ...

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 ...

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 ...

Stifel, Nicolaus and BMO Capital Markets are surely feeling blue after being hit with $2.7 million and $1.95 million SEC penalties for providing incomplete and ...

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 ...

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 ...