Trading

Historically, Stifel did not track or monitor which sub-advisers were trading away from Stifel, how often those sub-advisers were trading away, or the specific costs ...

The Commission’s complaint alleged that, from at least January 2010 through March 2016, Breton defrauded at least 30 of SCM’s clients by allocating profitable trades ...

The SEC further alleges that Lek Securities and its owner Samuel Lek made the schemes possible by providing Avalon with access to the U.S. markets, ...

Colgate-Palmolive has been paying an annual dividend to its shareholders since 1895. This fact wasn’t lost on a 28-year former Colgate employee who specifically advised ...

FINRA has published FAQs to assist broker-dealers with the reporting of Treasuries transactions to TRACE. The SRO notes that the participation agreement will be updated with ...

Not having written P&Ps to prevent the misuse of material non-public information and ignoring a “daily restricted list” of securities for personal trading purposes are ...

Goodrich participated in a fraudulent scheme to manipulate the securities of the Issuers. The complaint further alleged that, using his position as a market maker ...

The Hold Brothers had violated the federal securities laws by enabling and failing to adequately monitor deceptive trading practices by certain offshore traders who used ...

The SEC Jan. 25 charged a Massachusetts-registered investment adviser and its managing partner, CCO and sole employee Michael Breton with cherry-picking client trades. The case ...

According to the SEC's complaint, when companies announced positive earnings that would presumably increase the stock value, Breton disproportionately allocated those trades to his accounts. ...