Month: January 2015

There was a time when orders for securities were straight forward – buy, sell, limit and perhaps a few variations. Now, however, there is a multiplicity of order types as Michael Lewis points out in his book “Flash Boys.” Just …

SEC Brings Action Against Exchanges Centered on Order Types Read More »

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The SEC claims that an individual that controlled several entities including an investment fund created phony consumer loans to funnel investor cash to his faltering financial operations rather than investing the money in actual loans in accord with the representations …

SEC Inspection Staff Uncovers A Possible Fraud Read More »

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