Tag: best execution

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 »

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This week the SEC filed a settled FCPA case, partially settled another and brought insider trading cases while FINRA charged a broker with intimidation.

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