Daily Archive: January 2, 2016

scl2h1ykl0q277362.jpg 3

Broker-Dealer Beat – September 2014

Broker-Dealer Beat – September 2014 The SEC recently settled an enforcement action against brokerage firm Monness, Crespi, Hardt & Co. (“MCH”) for deficient insider trading procedures. This case is an important reminder of some...