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
Turney received $281,914 in commissions from his fraudulent conduct
IB did not have sufficient resources in its compliance function to adequately review and/or address the issues identified by its surveillance systems
The fact that the recipient of the recommendation is a regulated financial services industry professional would not excuse a firm from complying with Regulation Best ...
Because the Amendment concerns the security of data used by regulators to monitor market behavior and investigate misconduct, and the processes by which broker-dealers report ...
Rather than responding to the clearing firm’s concerns with an inquiry into the risks identified by the clearing firm, which may have led to the ...
Hopkins began approaching his brokerage customers about a new investment opportunity at the local credit union involving the opening of a new branch office. This ...
The key expected benefit of the final rule is that it creates a more structured framework to implement section 205 of the Dodd-Frank Act, so ...
UBS has taken a number of remedial steps, including reviewing and improving its retail order period policies and procedures, introducing retail order period training for ...