Volume 2014 - Number 44
November 21, 2014
SG Americas’ Non-Agency MBS Trader Fired, Sanctioned by FINRA For Pre-Arranged Trading
The Financial Industry Regulatory Authority revealed recently that a non-agency MBS trader at SG Americas Securities was fired by the firm and sanctioned by FINRA for pre-arranged trading. The self-regulatory organization said that on multiple occasions from 2001 through 2013, Yimin Ge entered into an agreement with counterparties at other institutions to engage in pre-arranged trading. FINRA said such deals violate the Securities Exchange Act as well as FINRA’s rules. The pre-arranged trades involved...
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This weekly covers the secondary mortgage market, including mortgage-backed securities and asset-backed securities.
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