Tag: Regulation SHO

April 19, 2012

optionsXpress Charged By SEC Over Naked Short Selling Scheme

The Securities and Exchange Commission recently charged optionsXpress, and online brokerage and clearing agency specializing in options and...

Blog, Securities Fraud Articles

October 26, 2011

UBS Fined $12 million by FINRA for Regulation SHO violations

The Financial Industry Regulatory Authority (FINRA) recently said in a release that “it has fined UBS Securities LLC $12 million for...

Blog, Securities Fraud Articles

May 16, 2011

Robert W. Baird & Co. Incorporated fined by FINRA

Robert W. Baird & Co. Incorporated (CRD #8158, Milwaukee, Wisconsin) recently submitted a Letter of Acceptance, Waiver and Consent in...

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