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Criminal Law

: SECLaw.com

Unregistered BD Defrauds Day Traders

By Mark H. Astarita, Esq.

I am often asked by prospective clients for ways to avoid registration as a broker-dealer. But here is one response that I did not consider - just ignore the registration rules and statutes!The SEC has announced that it obtained an emergency court order against an unregistered securities day-trading firm in La Jolla, Calif. Not only was the firm operating as an unregistered broker-dealer, it was defrauding the day traders who traded their own equity through the firm. Offering leverage rations of read more

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Full post as published by SECLaw.com on March 07, 2008 (boomark / email).

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