Enforcement

The SEC’s FY 2019 budget request tackles a three years running flat budget and two-year hiring freeze in a bid to stay on top of ...

While a settlement arising from this self-reporting initiative may allow an adviser to skirt paying penalties, the firm could expect to disgorge what it shouldn’t ...

a significant amount of AMP’s customers’ records and information were left unprotected for nearly ten months. In April 2017, as a result of this failure, ...

The Commission’s complaint alleged that, from November 2013 through April 2014, Moses and MIC misrepresented 1) Moses’ past experience as a trader or portfolio manager ...

All this story’s missing is the screenwriter.   The real-life characters include a failed politician turned skillful fraudster. He heads to prison next month. Add ...

The client, a retired businessman in his 80s, had been with Morgan Stanley for decades before James Polese became his rep eight years ago. The ...

Merrill Lynch’s decision late last year to pay $26 million to settle allegations relating to its anti-money laundering program shows the problems large firms face ...

An avalanche of eight enforcement actions from the CFTC has hit traders around the world, plus three of the planet’s largest financial services firms.   ...

CFTC Order finds that over a five-year period, beginning in at least January 2007 and continuing through May 2012 (the Relevant Period), DBSI made false ...

Thakkar is the president of Edge and has over eighteen years of experience programming custom software applications for the trading industry. In October 2011, Trader ...