A broker-dealer settled charges in a number of closely related enforcement actions brought by the various "NYSE Exchanges," for supervisory failings over "trading activity in warrants, rights, units, and certain OTC equity securities."
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A broker-dealer settled charges brought by NYSE American for over-tendering 16,300 shares in a partial tender offer and for failing to maintain an adequate supervisory system.
A broker-dealer settled charges with FINRA and NYSE Arca for over-tendering shares into partial tender offers.
A broker-dealer settled charges with FINRA and multiple exchanges for failing to properly surveil its client broker-dealers for potential manipulative trading.
A broker-dealer and its chief compliance officer settled charges with NYSE American LLC for improperly booking trades and for allowing an employee to send text messages that were not retained by the firm.