TITLE

A Broker-Dealer Morality Tale

AUTHOR(S)
Hintze, John
PUB. DATE
April 2005
SOURCE
Investment Dealers' Digest;4/11/2005, Vol. 71 Issue 14, p34
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Comments on the use of broker-dealer affiliates to obscure business practices by minimizing the traditional market scrutiny of hedge funds. Accounts on the collapse of hedge fund KL Financial; Acquisition of a broker-dealer in 2001by KL Financial that reportedly had a pre-existing correspondent clearing relationship with Spear, Leeds & Kellogg Specialists LLC; Source of high trading volumes and hence fees , without the requirements to service broker-dealers catering to investors.
ACCESSION #
16747674

 

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