Trading

These proceedings arise out of Barclays’ failure reasonably to supervise traders so as to prevent and detect violations of antifraud provisions of the federal securities ...

Making $6,000 in under 10 minutes would make a lot of people’s day.   The problem for Kevin Amell is that that option trade was ...

These proceedings arise out of breaches of fiduciary duty by Katz in connection with his purchases and recommendations of mutual fund shares for advisory clients. ...

These proceedings arise out of breaches of fiduciary duty, inadequate disclosures, and deficiencies in compliance policies and procedures by Credit Suisse. Between January 1, 2009 ...

The hits keep coming for Samuel Lek and his embattled New York-based broker-dealer Lek Securities. FINRA and a slew of exchanges announced March 27 that ...

These proceedings arise out of an illicit scheme by interdealer broker LCM to obtain undisclosed trading fees from its customers. From at least 2008 through ...

Broker-dealers now have until Sept. 5 to comply with a shortened T+2 settlement cycle for securities transactions. The SEC March 22 unanimously approved an amendment ...

The Securities and Exchange Commission (“Commission”) is adopting an amendment to the Settlement cycle Rule (Rule 15c6-1(a)) under the Securities Exchange Act of 1934 (“Exchange ...

Lek Securities Corp. sells itself as the “Gateway to the Markets.” The SEC claims the New York-based broker-dealer provided access to the U.S. markets to ...

The SEC's complaint alleges that Breton and Strategic Capital Management, LLC defrauded clients out of more than $1.3 million. Breton allegedly placed trades through a ...