Trading

A peer shares the firm's P&Ps related to trade errors

One in five survey respondents indicated an increased interest in investing

Compliance bulletins on manipulative trading techniques seemingly ignored

The misbehavior stopped only when personnel changed on the firm's treasuries desk

Altered reports were delivered to OCIE and Enforcement by the CCO

Keep an eye out for account takeover schemes and new account fraud

Roosevelt lacked policies and procedures reasonably designed to prevent and detect these violations by its registered representatives

Welsh placed orders for new issue municipal bonds with Dockside and Murphy to obtain bonds for Roosevelt’s inventory when he should have known that they, ...

Schwartz earned substantial management fees, misled the advisory client who received the better trades into thinking RRBB and Schwartz were better at managing their money ...

A failure to deliver final prospectuses in shelf offerings triggers enforcement action