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SSPN: ShmoopCenter Recap #8

Dashboard > Violations > SSPN: ShmoopCenter Recap #8

SSPN: ShmoopCenter Recap #8

Don’t doubt him, haters! Myron’s company AmericanEagleGold and his alter ego Stiffy just rifled off a amazing string of conflicts of interests. Let’s see the replay: we had Agency cross transactions, there was Acting as principal, we had this one – Earning compensation in addition to advisory fees, and this one – Recommending securities the adviser also trades in (awww, snap!) and finally there was the classic move, Acting contrary to recommendations.

This guy should be going to the ...

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