Robert Stewart recruited his friend, defendant Richard T. Cunniffe to place trades based on inside information that Robert received from his son, Sean Stewart, an ...
Ryan, BISC’s Chief Compliance Officer during the relevant period, participated in, along with others from the firm, the firm’s development of procedures for obtaining and ...
Mizuho failed to maintain and enforce effective information barriers between the International Desk and the U.S. Desk to prevent the sharing of issuer buyback order ...
In approximately 850 transactions since April 2012 until approximately June 2015, DBSI’s securities lending desk borrowed ADRs from Pre-Release Brokers, which resulted in DBSI indirectly ...
The criminal information against Unger alleged, among other things, that “Unger embezzled funds from [the broker-dealer customer’s] accounts without her knowledge and consent, in addition ...
BGC deleted audio files for the recorded lines of eight registered representatives that were responsive to requests from the Commission staff for these records. As ...
The counts of the criminal information to which Peterson pled guilty alleged, inter alia, that while employed at the Financial Institution, Peterson along with a ...
McLellan led a scheme to add secret commissions to securities trades performed for at least six clients of State Street's "transition management" business, which helps ...
Woodard offered and sold unregistered securities in a business entity he owned and accepted loans on behalf of the business from an investor in the ...
Schwab terminated 83 independent investment advisers for engaging in activity that Schwab determined violated its internal policies and presented risk to Schwab or its customers. ...