Month: January 2017

The Commission has long focused on microcap fraud by, among other things, bringing manipulation actions centered on penny stocks. OCIE and FINRA have also issued guidance for compliance departments on red flags to watch for which may suggest such a …

SEC Charges BD, COO With Failing to File SARs Read More »

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The SEC has continued to closely scrutinize disclosures related to trading in the markets. Its most recent cases involved Citigroup and Morgan Stanley. The actions are based on not disclosing that models used to market a product contained assumptions that …

SEC Sanctions Citi, Morgan Stanley Tied To Forex Trading Program Read More »

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