Trading

NFA conducted an examination of McVean Trading in late 2012 which, among other matters, raised questions about the calculation of the performance information included in ...

NFA Member Dow McVean was charged with failing to enact required procedures regarding allocations from bunched orders, in violation of NFA Compliance Rule 2-10. The ...

This case concerned not having required procedures regarding allocations from bunched orders, in violation of NFA Compliance Rule 2-10. The Complaint also charged David George ...

Earlier this month, the U.S. Second Circuit Court of Appeals denied the government’s request that the court reexamine its ruling in United States v. Newman. ...

SEC Obtains a Preliminary Injunction Order, Including Asset Freeze, Repatriation Order and Findings of Fact and Conclusions of Law, Against Father and Son Behind Pump ...

SEC Charges Day-Trader with Manipulating Stock Prices in Order to Obtain NASDAQ Listing for Company

In a bid to require the SEC to implement a more rigorous, fair and public process for the granting of disqualification waivers, Rep. Maxine Waters ...

The requester asked that its Global Markets Divisions be permitted to continue to engage in derivative arbitrage and hedging activities, as well as stock borrowing ...

SEC Obtains a Preliminary Injunction Against Two Former Employees of Capital One Financial Corporation for Insider Trading