Web11 Apr 2024 · On Behalf of Lewitas Hyman PC Apr 11, 2024 FINRA Compliance. The Financial Industry Regulatory Authority has fined Goldman Sachs over its mistakes in marking millions of stock orders, reports Financial Advisor. FINRA levied a fine of $3 million and censured the New York-based firm for the errors that involved about 60 million short … Web5 Feb 2024 · engaged in a scheme to conduct voluminous unauthorized trading in over 360 retail customer accounts as Global Arena Capital Corp., the New York broker dealer they were associated with at the time, was going out of business.
Regulatory Notice 08-18 FINRA.org
WebOther significant fraud cases involved charges of unauthorized trading. For example, in a case brought against Jeffrey Silverman, the respondent had entered unauthorized … Web13 May 2024 · The Staff has previously characterized unauthorized trading as referring to a range of risks, including: (i) “rogue” or other unauthorized trading or trade execution in client accounts; (ii) exceeding firm limits on position exposures, risk tolerances and losses; (iii) intentional mismarking of positions; and (iv) creating records of nonexistent (or sham) … golf hit with right hand
Securities Expert Witness FINRA Arbitration Expert Witness
Web10 Apr 2024 · On March 15, 2024 the Securities and Exchange Commission (“SEC”) proposed three new sets of rules (the “Proposed Rules”) which, if adopted, would require a variety of companies to beef up their cybersecurity policies and data breach notification procedures. As characterized by SEC Chair Gary Gensler, the Proposed Rules aim to … Web30 Sep 2024 · The SEC’s complaint, filed in federal district court in Chicago, alleges that from June through August 2024, Wakefield engaged in unauthorized speculative trading … Web11 Apr 2024 · The Securities and Exchange Commission (SEC) has ordered UPSYS Daily Trading to stop soliciting investments from the public without the necessary license from the government. ... he Commission also finds that the unauthorized investment scheme of the UPSYS Group is a Ponzi scheme which is likewise proscribed by law as the same … golf hoch 10