Trading

By knowingly or recklessly allocating profitable trades to certain clients at the expense of other clients and by making false and misleading statements to clients ...

Hartshorn disproportionately allocated profitable trades to proprietary accounts and unprofitable trades to client accounts. Hartshorn purchased securities for both proprietary and client accounts through an ...

FINRA and the SEC continue to hammer at problematic conduct they have seen stemming from algorithmic trading strategies. On April 7, the Commission approved a ...

The Commission's complaint alleges that over the course of approximately five years, Bassily took steps to conceal from transition management customers the routine practice of ...

The Commodity Futures Trading Commission (the “Commission” or the “CFTC”) is issuing a final rule to amend the limited trade options exemption in the Commission’s ...

fully recognize the difficulty in distinguishing between different types of physical contracts. If a particular contract or an element of a contract serves an ...

Look for SEC staff to submit a recommendation to the Commission “soon” to publish the consolidated audit trail (CAT) plan for public comment. Stephen Luparello, ...

CSSU violated Section 17(a)(2) of the Securities Act by making misrepresentations regarding CSSU’s use and application of an “Alpha Formula/Scorecard” (“Alpha Formula”), which CSSU used to ...

CSSU did not fully and completely disclose to all Crossfinder subscribers the fact that confidential order information was being transmitted to the AES SOR or ...

Barclays made materially misleading statements and omitted to state certain material facts necessary to make statements made not misleading concerning a) the operation of an ...