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TRENDING TAGS
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- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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Fines, Sanctions, Charges by SEC, CFTC
- CFTC Wins Commodity Fraud Trial.
- SEC: Broker, Advisory Firms Simply Trade Between Client Accounts - All Day Long.
2. SEC: Broker, Advisory Firms Simply Trade Between Client Accounts - All Day Long. For 3 years, an individual (Warren Nadel) and his B/D and IA firms (B/D 'Warren D. Nadel & Co.'; IA 'Registered Investment Advisers') allegedly raised tens of millions of dollars for a purported investment program that fraudulently generated over $8 million in commissions and fees, from 2007 through 2009. Instead of executing open-market transactions on the clients’ behalf, as promised, most trades were simply conducted between or among advisory client accounts at inflated prices that Nadel set. Case is scheduled for litigation. [SEC Litigation Rel. 21812, 1/13]
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