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Search Results: unauthorized trading
Results 80-90 of about 96
Date: July 19, 2011
Jennifer Kim, an ex- Morgan Stanley (MS) trader, has consented to a $25,000 settlement to resolve SEC allegations that she hid proprietary trades that that went above and beyond the financial firm’s risk limits. The alleged misconduct resulted in approximately ...
Date: June 19, 2011
District Court for the Central District of California, federal law preempts would-be class claims accusing Morgan Stanley Smith Barney LLC of having insider trading detection and deterrent policies that are illegal under California labor and unfair competition statutes.
Date: June 13, 2011
(MS) trader, has consented to settle for $150,000 SEC allegations that he hid from risk managers the true extent of risk involved in certain proprietary trading. This move caused the financial firm to suffer about $24.47 million in losses when ...
Date: June 10, 2011
Boushy North Investments had initially sought $4M in punitive damages and more than $3.8M in compensatory damages for negligence, unauthorized trading , breach of fiduciary duty, and gross negligence.
Date: May 31, 2011
Freecharm accused Atlas of committing Florida statutory violations, breach of fiduciary, fraud, negligence, and other wrongdoings linked to the alleged excessive and/or unauthorized trading in a number of securities accounts.
Date: May 26, 2011
Howard Winell, Winell Associates Inc., and Maxie Partners GP LLC have agreed to pay over $5.2 million to settle Commodity Futures Trading Commission charges accusing them of taking part in unauthorized trading and misappropriating funds related to a commodity futures ...
Date: February 21, 2011
The SEC says that it sought emergency relief because it was afraid that Illarramendi was going to make additional, unauthorized investments. The largest private equity investment Illarramendi made was in an unnamed West Coast nuclear energy company. The SEC says ...
Date: December 28, 2010
District Court for the Southern District of New York, the ex-financial adviser and “wealth manager” entered a guilty plea to the charge of wire fraud involving unauthorized trading for commissions.
Date: December 13, 2010
The most common investor claims against brokers and investment advisers can involve issues such as: • Unsuitability • Registration violations • Margin account abuse • Unauthorized trading • Breach of fiduciary duty • Breach of contract • Failure to execute ...
Date: April 13, 2010
In 2008, LPL Financial and Michael McClellan, one of its ex-brokers, lost a $1.8 million arbitration claim accusing them of securities fraud, violation of securities laws, unauthorized tradings, breach of fiduciary duties, and other violations.
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