At the center of the broker- trader relation is a duty which governs the relationship when trading. Reflected in Reg. BI is a duty which seeks to ensure that the relationship is fair and governed by the full and fair …
Tag: cherry picking
Adviser Operating Cherry Picking Scheme Makes over $1.8 million
Cherry picking is a long time focus of the Commission. In some senses, this practice may the be ultimate conflict of interest. It is based on an investment adviser placing a series of trades over the course of the trading …
Adviser Operating Cherry Picking Scheme Makes over $1.8 million
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