Trading

Donald Fowler previously had the inglorious distinction of being the impetus for an SEC investor alert warning about excessive trading and churning that can occur ...

From January 2013 to February 2015, Palermo benefited from a manipulative trading scheme carried out by his long-time friend, a day trader (“Trader A”), that ...

In May 2009, JS Oliver requested that the Soft-Dollar Broker reimburse JS Oliver $329,365 using soft dollar credits for a payment to Mausner’s ex-wife based ...

Roveccio recommended to seven customers – Customers 5 through 11 – a pattern of high cost, in-and-out trading without any reasonable basis to believe ...

When you are the named principal in your firm’s WSPs responsible for reviewing the suitability of your reps’ recommendations, claiming that you rely on the ...

The Commission is extending the compliance date for the recently adopted amendments to Rule 606 of Regulation National Market System (‘‘Regulation NMS’’) under the Securities Exchange ...

The Commission is extending the compliance date for the recently adopted amendments to Rule 606 of Regulation National Market System (“Regulation NMS”) under the Securities ...

After studying futures orders over the past six years, the CFTC concludes that more and more transactions are automated as opposed to manual and almost ...

This is the SEC form required to be filed by large traders

Gennity recommended to four customers a pattern of high-cost, in-and-out trading without any reasonable basis to believe that his customers could make a profit. Gennity's ...