Mismarking trades buys as sells would eliminate th
Post# of 43064
Posted On: 09/25/2016 12:33:36 PM
Quote:
Mismarking trades buys as sells would eliminate them from being reported to FINRA. Here are some past examples:
Searches Related to fines for mismarking trades
FSA fines Nomura £1.75m for rogue trades
FINRA Fines UBS Securities $12 Million for Regulation SHO
Goldman Pays $6.75M To End Trade-Mismarking Claims
Visium Insider-Trading Scheme Brought Down by Mismarking Tip
trader banned by FSA after mis-marking positions
Options Traders Fined and Barred for Spoofing and Order Mismarking
Finra Scrutinizes Options Firms Over Possible Order Mismarking
Unauthorized Trading Archives — Securities Lawyers Blog
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original post courtesy of alanc
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