Tag Archives: Trading

FINRA Bars Broker Herbert Voss, Jr. After Allegations of Unauthorized Trading

Herbert Voss, Jr. (CRD #1014475) is a previously registered broker and investment advisor, whose was last registered with StockCross Financial Services, Inc. (CRD #6670) of Beverly Hills, CA. His previous employers include UBS Financial Services Inc. (CRD #8174), also of … Continue reading

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Woodstock Financial Group Advisor Joseph Derrico Subject to Complaint Over Excessive Trading

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) Woodstock Financial Group, Inc. (Woodstock Financial) broker Joseph Derrico (Derrico) has been subject to two disclosed customer complaints, one regulatory complaint, and one criminal matter.  The regulatory action … Continue reading

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Inside Trading at the Second Circuit

Insider Trading Law Explained Neither Section 10(b) of the Securities Exchange Act of 1934 nor Rule 10b-5 of the Securities and Exchange Commission (SEC) expressly forbids insider trading.  Nevertheless, insider trading is considered a type of securities fraud which is … Continue reading

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After feds bust U.S. rep for insider trading in Pharma stock, will Congress drain ethics swamp?

At a time when prescription drug prices keep skyrocketing and Americans pay hundreds of billions of dollars for medications that account for as much as 15 percent of all U.S. health care spending, federal law enforcers provided a rare and jarring … Continue reading

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SEC News – Ponzi Scheme, Misleading Customers, Insider Trading

SEC Shuts Down $102 Million Ponzi SchemeThe SEC filed charges and obtained an asset freeze against the individuals and companies behind a $102 million Ponzi scheme that bilked investors throughout the U.S.Merrill Lynch Admits to Misleading Customers about Trading VenuesMerrill … Continue reading

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