Trading

Order routing and execution practices have morphed in a big way over the past 18 years as technology and innovation have yielded securities markets that ...

A cryptocurrency trading suspension and an emergency halting of a planned initial coin offering have both been initiated by the SEC this month. The main ...

FINRA has determined to address arbitration forum users’ concern that non-parties wanting to object to an order or subpoena have insufficient time to do so. ...

The SEC's complaint alleges that Bressman placed trades using the allocation account and cherry-picked profitable trades, which he then transferred to his own account and ...

The end of September represents the end of the SEC’s 2018 fiscal year and the inevitable analysis of its Enforcement Division’s statistics. But the division’s ...

The manner in which Harrison effected the trades on behalf of Putnam resulted in undisclosed favorable treatment of certain advisory clients over others. Specifically, Harrison ...

Be on the lookout for signs of a trader who immediately cancels futures orders just after placing them.   That behavior is highlighted in a ...

Perkins reaped substantial profits at his clients' expense by cherry-picking trades. Perkins allegedly traded securities in World Tree's omnibus account and delayed allocating the securities ...

Suspect that one of your reps may be engaged in excessive trading? Better investigate or put some meaningful restraints in place. Otherwise, you risk ending ...

The SEC regularly touts its ever increasing, enhanced ability to analyze big data. That prowess with utilizing data analysis to detect suspicious trading patterns has ...