We use cookies on this site to enable your digital experience. By continuing to use this site, you are agreeing to our cookie policy. close

N.Y. Broker Fined $400K For Market Timing Violations

Law360 (November 29, 2007, 12:00 AM EST) -- New York-based broker-dealer Rafferty Capital Markets LLC will have to pay more than $400,000 for allegedly failing to prevent late trading and deceptive market timing practices by its hedge fund customers....
To view the full article, register now.
Law360 Pro Say Podcast
Check out Law360's new podcast, Pro Say, which offers a weekly recap of both the biggest stories and hidden gems from the world of law.