Trading

During the relevant time period, Mr. Welhouse allocated a disproportionate number of profitable SPY options trades to favored accounts (accounts belonging to Mr. Welhouse or ...

The SEC’s recent string of bringing “first-ever” cases continues. This time it’s the Commission’s first enforcement action against an issuer of retail structured notes. Charged ...

The first of the penalties from the $100 million international insider trader scheme involving hacked newswire services has now been imposed on a Ukrainian-based trader ...

You’ve known since Dodd-Frank passed and ordered the SEC’s Division of Investment Management to once again employ examiners that firms would have to worry about ...

Anne Plimpton of McDermott Will & Emery gave us permission to share her memo on Exchange Act section 16 filings, including so-called Form 4 and ...

CGMI’s trade surveillance failed to detect these principal transactions for more than two years because it relied on an exception report that was not reasonably ...

A dark pool operator has been hit with the largest SEC penalty to date against an alternative trading system for operating an undisclosed proprietary trading ...

This matter involves violations of the federal securities laws by ITG in the operation of its dark pool and its misuse of customer information between ...

Some private equity advisers offer only one fund. But for those with a more expansive business model, the issue of how to allocate investments among ...

Systemic Order Audit Trail System reporting violations spanning a period of more than eight years have yielded Goldman Sachs Execution & Clearing a $1.8 million ...