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Our Take Blog
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Our Take Blog
December 24, 2009
BD Fined for Target Performance in PPMs
FINRA fined a broker-dealer for misleading statements made in fund PPMs distributed by the BD. FINRA…
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December 23, 2009
Inter-Dealer Broker to Pay $25 Million for Displaying False Orders and Proprietary Trading
A large inter-dealer broker agreed to pay $25 Million in fines and disgorgement and retain an…
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December 22, 2009
Adviser Under Scrutiny for Allocating Trades to Proprietary Accounts
The SEC has launched an enforcement action against an investment adviser and one of its principals…
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December 21, 2009
Adviser to Pay $2 Million for Failing to Monitor Client Allocations
An investment adviser that operated an asset allocation program agreed to pay $2 Million in fines…
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December 18, 2009
SEC Votes to Adopt New Self-Custody Rules
The SEC has voted to impose additional requirements on investment advisers that maintain custody of client…
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