SEC Investigates Whether Smaller Investors Are Penalized in Pricing

Posted on April 1st, 2014 at 9:35 AM

From the Desk of Jim Eccleston at Eccleston Law Offices:

Smaller investors often receive different prices for the same securities on electronic bond-trading platforms. Likewise, brokers sometimes block their rivals and clients from seeing some of their prices for municipal, corporate and other bonds. The SEC wants to understand why.

The inquiry highlights an infrastructure problem with the U.S. bond market. That is, while the bond market has expanded at a 23 percent rate in the past six years, much of the trading still is conducted through telephone conversations and e-mails.

The attorneys of Eccleston Law Offices represent investors and advisers nationwide in securities and employment matters. Our attorneys draw on a combined experience of nearly 50 years in delivering the highest quality legal services.

Related Attorneys: James J. Eccleston

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