Trading

Cedrone and Ferris were investor relations consultants for Abakan and worked in concert with Thoreson to monitor Abakan's bid-and-ask activity in real time. Thoreson effected ...

Needed new guidance on coming fixed income confirmation disclosure requirements has been released by FINRA. The guidance—in the form of 45 FAQs—is aimed at helping ...

Broker-dealers are now off and running with the new requirement to report transactions in U.S. Treasury securities through FINRA’s Trade Reporting and Compliance Engine (BD ...

A sentence has been handed down in a cherry-picking case that highlighted the SEC’s ever-increasing power to analyze trade data to detect suspicious trading patterns. ...

The SEC previously charged Breton and his firm Strategic Capital Management, LLC on January 25, 2017. The SEC's complaint alleges that Breton and Strategic Capital ...

There is a price to pay for ignoring compliance mandates. Despite repeated warnings, restrictions and prohibitions from compliance, a former Morgan Stanley Smith Barney top ...

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 ...