Rochdale Securities LLC, at one time a small Commission registered broker-dealer based in Stamford, Connecticut, is perhaps best known as the firm where a registered representative and his customer placed orders for over 1.6 million shares of Apple stock. The …
SEC Sanctions Brokers For Not Obtaining Best Execution Read More »
The SEC took the unusual step of citing the inadequacy of the books and records of the firm for “adversely impacting” its investigation and “causing unreasonably prolonged uncertainty concerning” the company’s historic accounting. The company was a major Florida real …
SEC Cites Firm’s Inadequate Books For Delaying Investigation Read More »