Sunday, December 18, 2016 9:09:04 AM
A separate Finra disciplinary action completed just days ago against Swiss firm Credit Suisse faults the bank for failing to flag potential money laundering abuses based on “suspicious microcap stock transactions and sales of unregistered securities.” The trading at issue “followed patterns commonly associated with microcap fraud.”
NITE
https://theintercept.com/2016/12/15/whistleblower-vindicated-massive-trading-firm-knight-capital-charged-with-abusing-naked-shorts/
Credit Suisse
http://www.finra.org/sites/default/files/CreditSuisse_AWC_120516.pdf
Nothing I state is intended to be a recommendation to buy or sell, opinion only. Readers are solely responsible for how they use the information.
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