Trading

the Traders placed relatively large bids or offers with the intent to cancel before execution (spoof orders) after another smaller bid or offer (resting orders) ...

The Traders, both individually and in coordination with one or more of the others, placed orders to buy or sell precious metals futures contracts with ...

“Spoofing is a particularly pernicious example of bad actors seeking to manipulate the market through the abuse of technology. The technological developments that enabled ...

Often lost in the shuffle when FINRA releases its annual regulatory and examination priorities letter is the regulatory component of the guidance. While the 2018 ...

FINRA has released its first consolidated findings from recent examinations, delivering on a pledge made by the SRO’s President/CEO Robert Cook at the start of ...

In each of the first three quarters of this year the SEC has filed charges of excessive trading against brokers. The streak continues with the ...

Morgan Stanley omitted mandatory futures and options data from its Part 17 Large Trader reports to the CFTC. These omissions were the result of four ...

Krueger favored his personal accounts over discretionary brokerage customer and advisory client accounts when he executed day trades or delayed allocation of trades until after ...

Krueger knowingly cherry-picked profitable trades for his personal accounts to the detriment of the discretionary accounts. When a security appreciated in value on the day ...

The first phase of data reporting for the Consolidated Audit Trail scheduled for the middle of next month coupled with the recent announcement of the ...