Trading

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 ...

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 ...