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References in periodicals archive ?
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.
An article in Wall Street Journal described a MassMutual board report that alleged O'Connell used unauthorized trading techniques to inflate greatly the value of a supplemental fund set up for his benefit.
Here are three ways districts are addressing the issue of unauthorized trading.
In response to SEC's recommendations, SIPC has updated its Trustee Guide to include (1) additional guidance on establishing valid unauthorized trading claims, (2) additional requirements for trustees and counsel concerning record keeping and filing of invoices for their services and expenses, and (3) a requirement governing record retention on liquidation proceedings.
(1) Investors are using a number of different theories, including unauthorized trading, failure to supervise brokers, placing investors in inappropriate investments, overcharging commissions and misrepresenting investment risks.
In September last year, the Osaka District Court ordered 11 executives of Daiwa Bank to pay a total of $775 million -- in the largest damages ordered to pay in Japan -- to take responsibility for a loss of around $1.1 billion caused by unauthorized trading conducted by a banker at its New York branch for 11 years from 1984.
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
Sebastian, daughter of shopping mall magnate Edmund 'Eddie' Gaisano Sr, was the complainant of the syndicated estafa for the alleged unauthorized trading of more than P24 million investment.