S.E.C. Is Said To Examine Stock Pricing By Big Brokers
Article Abstract:
The Securities and Exchange commission is investigating whether the big brokerage firms including Morgan Stanley, Merrill Lynch, Ameritrade, Charles Schwab and E*Trade Financial are meeting their "best execution" obligation. At issue are two methods of trading - internalization and payment for order flow.
Publisher: The New York Times Company
Publication Name: The New York Times
Subject: News, opinion and commentary
ISSN: 0362-4331
Year: 2004
Government regulation (cont), Government regulation, Management dynamics, Securities Brokerage, Stock Brokerage, Methods, Laws, regulations and rules, Stockbrokers, Investigations, Practice, Investor relations, United States. Securities and Exchange Commission, Securities trading
Publication Name: The New York Times
Subject: News, opinion and commentary
ISSN: 0362-4331
Year: 2004
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The Fall of Refco Is Providing a Test for Wall Street
Article Abstract:
Chief executive officer Phillip R. Bennett, of Refco Securities Inc. was forced to resign because of securities fraud charges. Prosecutors claim that he failed to report $430 million in debt to investors and regulators.
Publisher: The New York Times Company
Publication Name: The New York Times
Subject: News, opinion and commentary
ISSN: 0362-4331
Year: 2005
Executive changes & profiles, Capital funds & cash flow, Officials and employees, Cases, Finance, Accounting and auditing, Behavior, Chief executive officers, Securities fraud, Company financing, Bennett, Phillip R., Refco Securities Inc.
Publication Name: The New York Times
Subject: News, opinion and commentary
ISSN: 0362-4331
Year: 2005
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Comment about this article or add new information about this topic:
Subjects list: United States, Company legal issue, Securities industry
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