Sentences with phrase «unauthorized trading»

In this securities class action, 250 class members claimed their broker had engaged in unauthorized trading when he moved their money out of the stock market to a more conservative investment allocation just days before a market crash.

Last week, an E * Trade office in Manila was raided, and several dozen of its employees arrested and temporarily detained, as part of a probe into whether the staffers were making unauthorized trades for customers in the U.S.

Late in the quarter, UBS disclosed that unauthorized trading for the bank's account had generated a $ 2.3 billion loss and soon after CEO Oswald Grübel resigned.

«Among the eLearning modules he permitted others to complete were his 2014 annual compliance certification, «Unauthorized Trading Awareness and Education Certification,» «Understanding Money Laundering, Terrorist Financing, Sanctions and Corruption» and training on «Global Records Management,»» the record shows.

Every big Wall Street firm has an extensive compliance program, with elaborate protocols and training programs designed to make sure investment bankers, stockbrokers and bond traders understand the rules around no - nos like unauthorized trading, money laundering and terrorist financing.

In addition, the resolution recalls that in 2014 the SLA found the applicants in violation for «improper conduct» and use of an «unauthorized trade name» in relation to another LLC known as 133 Essex Restaurant.

The NOT read: «Dismissed for cause... Failed to follow trading desk policies & procedures - unauthorized trading resulting in losses.»

Customers should be especially wary of unauthorized trading platforms, says the AFM.

A slender ray of hope: Gibson and others are working to get legislation passed in Congress that would make unauthorized trade in Iraqi artifacts a crime.

The Ontario Superior Court has found that an investment firm defamed one of its former traders when it filed a Notice of Termination (NOT) with the securities regulator indicating the trader's employment had been terminated for failing to follow trading policies and engaging in unauthorized trading.

Limited coverage may also be provided for losses due to unauthorized trading or theft.

Any unauthorized trades will be reversed and positions will be reinstated.

We also represent clients in cases involving the churning of brokerage accounts, breach of fiduciary duty, unauthorized trading, and margin claims.

Peter has handled well in excess of 1000 securities litigation matters involving claims for violation of federal and state securities laws, breach of fiduciary duty, fraud, unauthorized trading, unsuitability, elder abuse and related claims.

Whether the company's business was «inherently objectionable», an unlawful lottery or an unauthorized trading scheme contrary to the Fair Trading Act.

The clinic will provide legal assistance and advice to eligible investors who may have claims involving misrepresentation, unsuitability, unauthorized trading, excessive trading («churning») and failure to supervise.

Decades of quality representation involving misrepresentation, unsuitable products, breach of fiduciary duty, fraud, promissory notes, securities employment related claims, breach of contract, unsuitable advice / mismanagement relating to stock, bonds, options, structured products, churning, unauthorized trading, options, mutual funds, REITS, private placements, structured products and all...