Broker-dealer to pay $5 mln over charges it misrepresented how it handled orders -SEC
The U.S. securities regulator
on Wednesday said Bloomberg Tradebook LLC has agreed to pay a $5
million penalty to settle charges it made “material
misrepresentations” over how the broker-dealer handled certain
customer trade orders.
on Wednesday said Bloomberg Tradebook LLC has agreed to pay a $5
million penalty to settle charges it made “material
misrepresentations” over how the broker-dealer handled certain
customer trade orders.
Posted by Reuters
