Trading

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

FAV’s compliance department discovered the breaches of the limits in Section 12(d)(1)(A)

Tannen negligently disregarded that the Brokers would be conducting unauthorized trades in these customer accounts. Tannen was compensated $20,000 for his actions

The Commission is proposing a set of principles for DCMs to address the prevention, detection, and mitigation of market disruptions and system anomalies associated with ...

Firm made misrepresentations about how it handled certain trade orders