Trading

An SEC enforcement initiative aimed at combatting “cherry-picking” continues to bear fruit. The initiative—led by the Commission’s Los Angeles Regional Office—has now yielded a fourth ...

The plan was to deposit large blocks of microcap stock into brokerage accounts, drive up the stock price through promotions, manipulate the stock’s price and ...

This proceeding arises out of a fraudulent “cherry-picking” scheme carried out by Valor Capital Asset Management, LLC (“Valor”) and its principal, Robert Mark Magee (“Magee”) ...

The complaint alleged that, during the Period, Respondents executed improper trades across the funds that benefitted certain clients at the expense of other clients. The ...

The complaint alleges that for more than four years, Bronson traded securities in Strong's omnibus account but delayed allocating the securities to specific client accounts ...

The SEC’s FY 2019 budget request tackles a three years running flat budget and two-year hiring freeze in a bid to stay on top of ...

Deutsche Bank Securities will be reimbursing certain of its commercial mortgage-backed securities customers who overpaid for CMBS after being misled about pricing by the firm’s ...

The Securities and Exchange Commission has obtained a final judgment against a Massachusetts-based portfolio manager at a major asset management firm charged with diverting at ...

An avalanche of eight enforcement actions from the CFTC has hit traders around the world, plus three of the planet’s largest financial services firms.   ...

The Commission’s complaint, alleged, among other things, that from December 1, 2012, through May 2015, Fischer violated the antifraud provisions of the federal securities laws ...