Trading

B-Ds supervisory systems and WSPs will be examined

Examiners wanted to see some review of an IA account after 12 months of inactivity

At the time he was fired, Tropiano was married to the daughter of Respondent. Tropiano went to see Respondent, his father-in-law, for advice on finding ...

The use of algorithms in trading is pervasive in today’s markets. Any analysis of the role that algorithmic trading plays in the US equity and ...

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

Failures stemmed from allocations tied to day trade and buy-and-hold clients

Day Trade Clients received risk-free day trades with small profits while the Buy and Hold Clients effectively bore all market risk for the Day Trade ...

First Western will pay $200K penalty under settlement

SG Americas will pay a $3.1M fine for inaccurate blue sheets