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
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