{"id":2995,"date":"2014-02-21T16:15:43","date_gmt":"2014-02-21T21:15:43","guid":{"rendered":"http:\/\/webesco.net\/lawkhf\/?p=2995"},"modified":"2020-09-23T18:22:50","modified_gmt":"2020-09-23T22:22:50","slug":"sec-alert-scottrade-2-5mm-settlement","status":"publish","type":"post","link":"https:\/\/www.khflaw.com\/news\/sec-alert-scottrade-2-5mm-settlement\/","title":{"rendered":"SEC Alert: Scottrade $2.5MM Settlement"},"content":{"rendered":"<p style=\"text-align: left;\" align=\"center\">It seems the U.S. Securities and Exchange Commission is one of the busiest federal agencies lately, as it brought down the hammer once again, this time obtaining a $2.5 million penalty from Scottrade, Inc. by way of settlement&#8230;&#8230;<\/p>\n<p><strong><span style=\"text-decoration: underline;\">SEC Alert: Scottrade $2.5MM Settlement<\/span><\/strong><\/p>\n<p>It seems the U.S. Securities and Exchange Commission is one of the busiest federal agencies lately, as it brought down the hammer once again, this time obtaining a $2.5 million penalty from Scottrade, Inc. by way of settlement.\u00a0 From March of 2006 until 2012, an affiliate of Scottrade, Inc. failed to provide the SEC with accurate \u201cblue sheets,\u201d which essentially log the details of all trading activity both within a firm and with its customers.\u00a0 Blue sheet data is necessary for the SEC to identify and analyze trades in the course of investigations and other work, as they contain the details of each equity or options trade that is routed through clearing broker-dealers.\u00a0 (They are called \u201cblue sheets\u201d because the form was blue, but in the \u201880s, the process became electronic.\u00a0 Still, the term \u201cblue sheet\u201d is commonly used.) <a href=\"https:\/\/www.khflaw.com\/news\/sec-alert-scottrade-2-5mm-settlement\/#more-2995\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>It seems the U.S. Securities and Exchange Commission is one of the busiest federal agencies lately, as it brought down the hammer once again, this time obtaining a $2.5 million penalty from Scottrade, Inc. by way of settlement&#8230;&#8230; SEC Alert: Scottrade $2.5MM Settlement It seems the U.S. Securities and Exchange Commission is one of the [&hellip;]<\/p>\n","protected":false},"author":3,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":"","_links_to":"","_links_to_target":""},"categories":[415],"tags":[50],"coauthors":[512],"class_list":["post-2995","post","type-post","status-publish","format-standard","hentry","category-miscellaneous","tag-sec","miscellaneous_lawyer-kang-haggerty-fetbroyt-llc"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - 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