4 Huge Brokers Charged with Market Gain access to Misbehaviors
Deutsche Bank Securities Inc., Citigroup Global Markets Inc., J.P. Morgan Securities LLC, and Interactive Brokers LLC have been censured and fined an overall of $4.75 million for offenses of numerous arrangements of the marketplace gain access to policies (guideline 15c3-5 of the Securities Exchange Act of 1934) and “associated exchange supervisory guidelines,” according to a … [Read more…]