SIGNUPABOUTBW_CONTENTSBW_+!DAILY_BRIEFINGSEARCHCONTACT_US


Return to main story


Day Trading: The Trouble Spots

INFINITUM MANAGEMENT
JAN. 6, 1999 Texas orders firm to stop day trading while unregistered in Texas and fines principal and eight others $44,000

BLOCK TRADING
DEC. 17, 1998 Wisconsin regulators allege Block sold an unregistered franchise to an investor

OCT. 19, 1998 Massachusetts regulators allege fraud, unlawful loan scheme, and encouragement of unregistered investment advisory activity in a branch office

ALL-TECH INVESTMENT GROUP
DEC. 10, 1998 Massachusetts regulators allege deceptive marketing, fraud, forgery, and the establishment of fictitious accounts in a branch office

BRIGHT TRADING
NOV. 9, 1998 Massachusetts regulators allege an office operated a day-trading business wiThout registering as a broker-dealer

GENERIC TRADING ASSOCIATES
MAY 27, 1998 Colorado regulators impose limitations On advertising

EXCHANGE HOUSE
SEPT. 30, 1997 Texas regulators settle complaint that individuals executed day trades for others without registering with state

DATA: BUSINESS WEEK


Return to main story


SIGNUPABOUTBW_CONTENTSBW_+!DAILY_BRIEFINGSEARCHCONTACT_US


Updated Jan. 7, 1999 by bwwebmaster
Copyright 1999, Bloomberg L.P.
Terms of Use