Sentence examples for improper trading practices from inspiring English sources

The Securities and Exchange Commission is investigating a Los Angeles money manager over accusations of improper trading practices, according to two people with direct knowledge of the case.

Mr. Brown was investigating improper trading practices in the mutual fund industry and had come across a provocative two-year-old paper by Professor Zitzewitz.

Knight Trading Group Inc. the biggest trader of Nasdaq stocks, said yesterday that the Securities and Exchange Commission would investigate accusations of improper trading practices.

Industry executives said that companies had been providing information on variable annuity investments to regulators for several months but that they were unaware of improper trading practices.

But the recent investigations into reports of improper trading practices at several mutual fund companies have given investors in these tax-sheltered plans a new cause for concern.

In a 2008 settlement with the Securities and Exchange Commission, Mr. Sapio said that he had helped to "facilitate improper trading practices" like market timing that hurt mutual fund shareholders and enriched hedge funds and other deep-pocketed investors.

The settlement caps a lengthy and arduous negotiations process between the firm and the Securities and Exchange Commission and the New York Stock Exchange and makes Bear the last major Wall Street firm to pay fines in connection with improper fund trading practices first uncovered by Eliot Spitzer, the New York attorney general, in 2003.

Spitzer said that Bank of America's Nations Fund was given sizable fees in exchange for engaging in improper after-hours trading practices with hedge fund Canary Capital Partners.

Speaking at an annual conference of lawyers who specialize in the regulation of variable annuities, the officials said they were also pursuing investigations into improper trading in variable annuities similar to practices that have led to hundreds of millions of dollars in fines and other penalties for mutual fund companies and brokerage firms.

Alliance Capital Management, one of the nation's largest money managers, said yesterday that it had suspended two executives over improper trading in its mutual funds, after inquiries by regulators into trading practices in the fund industry.

Invesco Funds Group and its sister company have agreed to pay $376.5 million and surrender $75 million in fees to settle state and federal allegations of improper trading, with the money mainly going to investors hurt by the practices.