BISYS agrees to pay US$25 million in disgorgement and prejudgment interest although it neither denies or admits the SEC’s allegations
All four defendants agree to settle SEC charges
Pair misused material non-public information from Morgan Stanley
SEC sues Hong Kong pair over purchases
The U.S. Securities and Exchange Commission settled fraud charges against Morgan Stanley & Co. Inc. for its failure to provide best execution to certain retail orders for over-the-counter securities. The SEC reported that Morgan Stanley embedded undisclosed mark-ups and mark-downs on certain retail OTC orders processed by its automated market-making system and delayed the execution […]
The May 18 event will focus on issues facing seniors as they prepare for, and enjoy, their retirement
Credit Suisse banker illegally gave non-public information to a person believed to be a Pakistani banker
The St. Louis broker-dealer will have to pay a total of almost US$4 million for failing to supervise some registered rep
Discussion focused on developments in international and U.S. accounting standards
Beneficiaries were victims of Edward Jones’ failure to adequately disclose revenue payments from a select group of mutual fund companies