Tag: brokers

The SEC and the U.S. Attorney’s Office for the District of Connecticut charged three senior traders with fraud by misrepresenting pricing information to clients regarding securities traded in opaque markets. In those markets clients often rely on the trader for …

SEC Charges Three RMBS Traders With Lying To Clients Read More »

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A recurrent theme in today’s enforcement environment is parallel and often overlapping proceedings. That is the case with a District of Columbia based broker that drew sanctions from the SEC, FINRA and DC. In the Matter of Success Trade, Inc., …

SEC, FINRA, DC Sanction Success Trade Read More »

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