How many of these were SRSR shares? "G1 Execution
Post# of 85
Posted On: 05/02/2014 4:38:07 PM
How many of these were SRSR shares?
"G1 Execution Services, LLC fka E*Trade Capital Markets LLC (Chicago, Illinois) was censured, fined $25,000 and ordered to pay $121.46, plus interest, in restitution to customers. The firm consented to the described sanctions and to the entry of findings that it executed numerous short sale transactions for which it failed to include the short sale modifier in the report of each of these transactions to the FNTRF or the OTCRF. The findings stated that the firm failed to execute, or failed to contemporaneously or partially execute, limit orders in NASDAQ securities after it traded each subject security for its own market-making account at a price that would have satisfied each customer’s limit order. (FINRA Case #2010022867501)
http://blog.rexsecuritieslaw.com/2013/04/16/20130415.aspx "
Go SRSR!!!
"G1 Execution Services, LLC fka E*Trade Capital Markets LLC (Chicago, Illinois) was censured, fined $25,000 and ordered to pay $121.46, plus interest, in restitution to customers. The firm consented to the described sanctions and to the entry of findings that it executed numerous short sale transactions for which it failed to include the short sale modifier in the report of each of these transactions to the FNTRF or the OTCRF. The findings stated that the firm failed to execute, or failed to contemporaneously or partially execute, limit orders in NASDAQ securities after it traded each subject security for its own market-making account at a price that would have satisfied each customer’s limit order. (FINRA Case #2010022867501)
http://blog.rexsecuritieslaw.com/2013/04/16/20130415.aspx "
Go SRSR!!!
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