Month: December 2016

Automated trading, alternative trading venues, high speed trading, the proliferation of order types and dark pools have been discussed in news articles and popular literate. The Commission has brought enforcement actions involving dark pools, alternative trading venues and order types, …

SEC Charges Deutsche Bank With Misleading Clients Re Order Routing Read More »

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The Commission filed four actions last week. One action centered on a cherry picking scheme; a second focused on an adviser that failed to follow its own procedures regarding conflicts; a third involved an investment adviser who made repeated misrepresentations …

This Week In Securities Litigation (Week ending December 16, 2016) Read More »

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