Tag: trading

The Commission settled two failure to supervise cases with Nomura Securities International, Inc. In the Matter of Nomura Securities International, Inc., Adm. Proc. File No. 3-19248 (July 15, 2019); In the Matter of Nomura Securities International, Inc., Adm. Proc. File …

Trading in Opaque Markets and Compliance Read More »

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The key role of compliance threads through the continuing saga of Jefferies & Co. trader Jesse Litvak as well as a series of similar cases. Mr. Litvak is one of a number of traders who were indicted by the U.S. …

The Impact of Compliance –Another Reversal For a Jefferies Trader Read More »

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