Posts In Dark Pools

UBS Fined Record $12 Million Plus $2.5m in Disgorgement, Interest for Dark Pool Disclosure Violations Jan 18
The Securities & Exchange Commission fined UBS Securities LLC an industry-record $12 million and ...
View Article

Most Popular

Cetera Financial Group & Cetera Advisors Paid $4.2 Million Over Mutual Fund Misconduct
SEC Charges Brokers Michael Horowitz, Moshe Marc Cohen with $80 Million Variable Annuity Fraud
James Hedges Cited for Misrepresenting, Failing to Disclose $6 Million of Financial Events on Questionnaire
Midtown Partners' Kevin Gillespie Charged by SEC in $10 Million Microcap Fraud Scheme
Morgan Stanley's Barry Garapedian Accused of Unsuitable Recommendations Causing Millions in Damages

Categories

1031 Exchanges
401(k)
Account Objectives
Advertising
Aegis Capital Corp.
Aequitas
Affinity Fraud
Airbags
Alternative Investments
American Depositary Receipts (ADRs)
Ameriprise
Ameritas Investment Corp.
Angelo Talebi
Anti-Money Laundering
Arbitration
Arbitrators
Auction Rate Securities
AXA Advisors
Bambi Holzer
Berthel Fisher
Best Execution
Binary Options
Bonds
Breakpoints
Brietburn Energy
Brokercheck
Buffer Annuities
Business Development Corporations (BDCs)
Centaurus Financial
Certificates of Deposit
Cetera Advisors
CFP
Charles Schwab
Cherry-Picking
Choice of Law
Churning
Citigroup
Citizens Securities
Clearing Firm Liability
Closed-End Funds
Cockroach Culture
CoCo Bonds
Cold Calls
Commissions
Communications
Compliance
Confidentiality
Conflict of Interest
Conservation Easements
Conversion
Coronavirus
Credit Suisse
Criminal Conduct
Cross-Selling
Crowdfunding
Crown Capital Securities
Cryptocurrency
CUNA Brokerage Services
CUSO
Cybersecurity
Dark Pools
Data Security
Dawn Bennett
Department of Justice
Derivatives
Deutsche Bank
Deutsche Bank Securities
Discipline
Disclosure
Discretionary Trading
Diversified Lending Group
Due Diligence
E*Trade Securities
Edward Jones
Elder Abuse
E-Mail
Emerson Equities
Equity Indexed Annuities
ETFs
ETPs
ETRACS
Excessive Trading
Exchange Traded Notes
Expungement
Failure to Supervise
FBI
Fees
Fidelity
Fiduciary Duty
Fifth Third Securities
Finance 500, Inc.
Financial Alchemy
Financial West Group
FINRA
First Allied Securities
First Financial Equity
Fixed Annuities
Floating-Rate Bank Loan Funds
FNIC
Forgery
Free Lunch Seminars
Front Running
Frontier Funds
FSC Securities
F-Squared
Future Income Payments (FIP)
FWG
Gold and Precious Metals
Goldman Sachs
GPB Capital Holdings
GWG L-Bonds
Hedge Fund
High Frequency Trading
Home Loans
HSBC
Identity Theft
Independent Financial Group (IFG)
Initial Public Offerings
Insider Trading
Insurance
Investment Adviser
Investor Alert
IRA
JP Morgan
JP Turner
Kathleen Tarr
Kyusun "Kenny" Kim
Ladenburg Thalmann
Leverage
Life Settlements
Limited Partnerships
Lincoln Financial Services
Linn Energy
LJM Fund
Loan
LPL
Managed Futures Fund
Margin
Marijuana/Cannabis
Market Manipulation
Mark-Up/Mark-Down
Master Limited Partnerships
Mediation
Merrill Lynch
Message Boards
MetLife Securities
Meyers & Associates
Microcap Stocks
MML Investors Services
Morgan Keegan
Morgan Stanley
Mortgage Backed Securities
Municipal Securities
Mutual Funds
NASAA
Net Capital Violation
Newbridge Securities Corp.
Newport Coast Securities
NEXT Financial
NFA
NFP Securities, Inc.
NMS Capital Securities
Non-Public Information
Northstar Financial Services (Bermuda)
Null
NY Life Securities, LLC
Oil and Gas
Oppenheimer
Options
Outside Business Activity
Penny Stocks
Pensions
Plain English
Ponzi Scheme
Precious Metals
Preferred Securities
Private Asset Group
Private Placements
Private Securities Sales
Promissory Notes
Proprietary Products
Prospectus
Pruco Securities
Pump and Dump Scheme
Punitive Damages
Questar
Radio Shows
Raymond James
RBC
Registered Investment Advisor
REITs
Restitution
Restricted Stock
Reverse Convertibles
Risk
Roboadvisors
Royal Alliance
Rule Change
Sandlapper Securities
Scottrade
Seadrill Limited
SEC
Securities America
Securities Based Lending
Securities Fraud
Selling Away
Short Selling
Sigma Financial
Social Media
Solicitation
SPAC
Stockcross Financial
Structured Products
Suitability
Switches
Tax
TD Ameritrade
Tenants-in-Common
Thrivent
Transamerica Financial Advisors
UBS
UDF
Unauthorized Trading
Unit Investment Trusts
VALIC Financial Advisors
Variable Annuities
VFG Securities
VIX
Volatility
Voya
Waddell & Reed
Wash Transactions
Wedbush Securities
Wells Fargo
Western International Securities
WestPark Capital
Whistleblower
Willow Fund
Wire Fraud
Woodbridge Group
World Group Securities
XIV
YES and CYES