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Recent Posts in High Frequency Trading Category

UBS Fined Record $12 Million Plus $2.5m in Disgorgement, Interest for Dark Pool Disclosure Violations

The Securities & Exchange Commission fined UBS Securities LLC an industry-record $12 million and ordered disgorgement plus prejudgment interest of $2.5 million for failing to properly disclose a ...
Continue reading "UBS Fined Record $12 Million Plus $2.5m in Disgorgement, Interest for Dark Pool Disclosure Violations" »

FINRA Charges Wedbush Securities with Insufficient Controls, Leading to Manipulative Trades

FINRA accused Los Angeles-based Wedbush Securities of systematic market access violations and anti-money laundering ("AML") deficiencies, filing a complaint that charged Wedbush with failing ...
Continue reading "FINRA Charges Wedbush Securities with Insufficient Controls, Leading to Manipulative Trades" »

FINRA Cracking Down on Abusive, Unsuitable Automatic Trading Practices

FINRA is placing emphasis on trading strategies based on mathematical algorithms and has opened 170 investigations into cases alleging such abusive trading practices. Chairman Richard Ketchum recently ...
Continue reading "FINRA Cracking Down on Abusive, Unsuitable Automatic Trading Practices" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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Phone: (800) 699-1881 | Local Phone: (818) 760-9880.
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