Best Execution

For the first time, broker-dealers would be required to disclose their handling of institutional orders to customers should proposed rules approved July 13 by the ...

Jane Fry did little or no work at RSA or for FHC clients, did not have an RSA desk, phone, or computer and was rarely ...

From at least 2000 through at least August of 2011, The Bank of New York Mellon (“BNYM”) and its predecessors, The Bank of New York ...

Ensuring your customers are receiving best execution of their orders is of critical importance and adequate reviews are a regulatory requirement. The best ex committee ...

A small investment adviser based in Ohio is paying the price for not giving compliance its due.   Everhart Financial Group ($250M in AUM) in ...

Receipt of 12b-1 fees not only created a conflict of interest that was not adequately disclosed to EFG’s clients, but favoring 12b-1 funds over others ...

A peer shares a form that lays out how the firm compares brokers.

Lessons aplenty can be found in the new SEC settlement with Morgan Stanley Investment Management ($257B in AUM) over the illegal “parking” of some trades ...

From October 2011 to June 2013, Ge, then a trader at SGAS, a registered broker dealer, engaged in a series of unlawful prearranged purchases of ...

These proceedings concern a series of unlawful prearranged trades conducted by a portfolio manager/trader formerly employed by registered investment adviser MSIM which resulted in the undisclosed ...