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Broker in court over trader
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Newspaper Article
Broker in court over trader
2008
Overview
Instead of carrying out trades in accordance with instructions, Mr [Philip Mason] used the warehousing strategy to dump loss- making trades into Geniki's account over eight months in 2001, Mr [George Pavlides] says. Neil Badger, [Ellis]'s chief executive, yesterday admitted that some of Mr Mason's activities did not comply with the brokerage's internal procedures, nor were they spotted by the firm's compliance department. \"I would not approve of this method of trading other than in special circumstances, which ought to be fully documented,\" Mr Badger says in a statement submitted to the High Court. \"Mr Mason does not appear to have complied with Ellis's internal procedures.\"
Publisher
The Financial Times Limited
Subject
