October 2015 – SEC ACTIONS

This Week In Securities Litigation (Week ending October 30, 2015)

Posted on October 29, 2015 by T. Gorman Posted in SECActions

The SEC’s apparent preference for administrative proceedings as a venue for its enforcement actions continues to draw criticism. H.R. 3798 is now pending in the House of Representatives. The bill is tilted the “Due Process Restoration Act of 2015.” It …

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Tagged with: conflicts, disclosure, Insider trading, manipulation, offering fraud, SEC, secactions

SEC Sanctions Brokers For Not Obtaining Best Execution

Posted on October 28, 2015 by T. Gorman Posted in SECActions

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 …

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Tagged with: best execution, fraud, SEC, secactions

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Month: October 2015

This Week In Securities Litigation (Week ending October 30, 2015)

SEC Sanctions Brokers For Not Obtaining Best Execution