best execution – SEC ACTIONS

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

This Week In Securities Litigation (Week ending April 19, 2013)

Posted on April 18, 2013 by T. Gorman Posted in SECActions

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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SEC Sanctions Brokers For Not Obtaining Best Execution

This Week In Securities Litigation (Week ending April 19, 2013)