Trading

Liew, on numerous occasions, acting individually and in coordination with other traders on the precious metals trading desk of Financial Institution 1, placed orders to ...

If you don’t run the numbers in helping to ensure fair trading allocations, know OCIE will. A new cherry-picking enforcement action again stresses that your ...

The SEC charged Im and Chan, who ran the commercial mortgage-backed securities (CMBS) desk at Nomura Securities International Inc., with deliberately lying to customers in ...

Balter allocated a disproportionate number of profitable trades to his own accounts and a disproportionate number of unprofitable trades to client accounts, thereby profiting from ...

If your firm’s Form ADV brochure trumpets a staffer’s education or certification, make sure you confirm the claim.   That’s one lesson from the SEC’s ...

The Advisers Act expects that access persons will report their securities transactions and that you’ll review them. A former SEC staffer found there’s a price ...

The SEC's complaint alleges that David R. Humphrey, who worked at the SEC from 1998 to 2014, concealed his personal trading from the SEC's ethics ...

From January 2010 to August 2015 (the “Relevant Period”), TMG and Tellone allocated profitable day trades in a manner that was sometimes inconsistent with TMG’s ...

The false or misleading statements and undisclosed excessive mark-ups that are the subject of the Order took place in the context of certain intra-day trades ...

These proceedings arise out of Lee’s violations of antifraud provisions of the federal securities laws in connection with Barclays’ secondary market purchases and sales of ...