Tag: brokers

Introduction The fourth quarter of calendar year 2020 continued trends evidenced in the third quarter of the year, although far fewer cases were initiated. There were actions brought in a number of key areas such as offering fraud cases, those …

SEC Enforcement: The Fourth Quarter of 2020 Read More »

Tagged with: , , , , ,

Some brokers claim to be low price, offering investors the lowest price for execution. Others focus on other factors such as speed or liquidity, claiming that their method of obtaining execution for a proposed trade transaction is superior based on …

Bloomberg Tradebook Settles Fraud Charge with SEC Read More »

Tagged with: , ,