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Browse: Home / 2013 / April / 16 / Rogue Broker’s ‘Brazen, Ill-Conceived Scheme’ Brings Down Conn. Brokerage Firm

Rogue Broker’s ‘Brazen, Ill-Conceived Scheme’ Brings Down Conn. Brokerage Firm

By Securities Docket on April 16, 2013, 9:21 am

The SEC alleges that on October 25, 2012, a registered representative named David Miller came to work at Rochdale Securities LLC and, by the end of the day, had taken the entire firm down through a very misguided scheme.

via Rogue Broker’s ‘Brazen, Ill-Conceived Scheme’ Brings Down Conn. Brokerage Firm – Compliance Week

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Posted in SEC, Top | Tagged Rogue Traders

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