Father-Son Insider Traders Provide Window Into ETF Markets, TD Ameritrade Phone Surveillance

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The SEC’s administrative action against Spencer Mindlin & Dad yesterday had me scratching my head, and not just because TD Ameritrade managed to record a conversation between Mindlins père and fils when they had Ameritrade on hold. That should not be possible. From what I’ve seen of this case it really doesn’t look like…



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