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References in periodicals archive ?
Based on a briefer issued by the SEC on Friday, the CMIC alleged DW Capital, represented by Derwin Wong and Connie Lozada, had engaged in unauthorized trading of stocks involving five accounts with market value of 'short' or sell positions amounting to around P2.
Protecting senior investors from predatory behavior such as unsuitable and unauthorized trading is part of our core mission and will always be a priority for FINRA.
According to documents filed by Stephens in its grievance against Abshure, the LaRue clients afflicted by unauthorized trading and/or unsuitable investments included Diana Kirkland, David Branscum, Ray and Donna Hambuchen, Bobby Spradlin and Doug and Andrea McConnell.
Kaufman & Broad, which is based in West Los Angeles, said the unauthorized trading had mainly been conducted in the last 30 to 60 days by a single person, whom it declined to identify.
HONG KONG, April 4 Kyodo A former Singapore-based British futures trader, jailed for unauthorized trading which led to the collapse of Britain's oldest merchant bank, will likely be released from a Singapore prison on July 3, a Hong Kong daily reported Sunday.
Devising strategies to address this issue has proved far more difficult than developing and managing the risk of unauthorized trading or the improper use of derivatives.
The loss resulted from unauthorized trading in Nikkei index future
Based on a briefer issued by the SEC on Friday, the CMIC's petition alleged that DW Capital had engaged in unauthorized trading of stocks involving five accounts with market value of 'short' or sell positions amounting to around P2.
Investors should be wary of unauthorized trading, frequent sales and purchases, or excessive fees in their brokerage accounts," said Lori Schock, director of the SEC's Office of Investor Education and Advocacy, in a statement.
The SECP had received a number of investors' complaints regarding unauthorized trading, non-transfer of shares and non-payments to clients against Highlink Capital (Pvt.
The bank had revealed earlier that a trader had lost about two billion US dollars due to unauthorized trading.