(Bloomberg) -- An E*Trade Financial Corp. division was fined $900,000 for not doing enough to ensure customers’ trades were handled well. Retail brokerages like E*Trade don’t typically execute clients ...

If your clients are like mine, the projects that really get their attention are those that eliminate repetitive tasks or save them time and money. If you can help them with all three, as I did on a ...

JPMorgan Chase & Co. failed to properly monitor billions of client orders between 2014 and 2021, according to the Commodity Futures Trading Commission. The CFTC said Thursday the bank would pay $100 ...

Gordon Scott has been an active investor and technical analyst or 20+ years. He is a Chartered Market Technician (CMT). Directed order flow occurs when a customer's order to buy or sell securities is ...

Order management systems (OMSs) have become a key component of a best execution policy, especially when used in conjunction with risk-management systems. In Greenwich Associates’ recent report Moving ...