Trading

Block improperly directed all or virtually all of four separate payments that were owed to two of Block’s advisory clients to other accounts in which ...

During the relevant period, CES provided a written disclosure to certain retail broker-dealer clients that described a market order as an “[o]rder to buy (sell) ...

A “listening tour” commenced last August by then new FINRA president/CEO Robert Cook will bear fruit this year. Based on feedback that broker-dealers would like ...

There can be no mistaking that the SEC is diligently examining broker-dealers’ trading data and has even greater tools at its disposal to do so. ...

Furth engaged in a fraudulent broker bribery scheme designed to manipulate the market for the common stock of SearchPath HCS, Inc. through matched trades. The ...

The SEC's complaint alleges that Gregory T. Dean and Donald J. Fowler did no reasonable diligence to determine whether their investment strategy involving frequent buying ...

In an SEC enforcement first, the Commission has charged hacking into the computer networks of two prominent but unidentified New York-based law firms in a ...

The year draws to a close with the CFTC finalizing a new final rule that revises Commodity Exchange Act rule 150.4 (aggregation of positions) to ...

Morgan Stanley will pay $7.5 million to settle SEC charges that it used trades involving customer cash to lower the firm’s borrowing costs in violation ...

The Order finds that Oystacher and 3Red intentionally and repeatedly engaged in a manipulative and deceptive spoofing scheme while trading the spot-month contracts in the ...