The SEC charged an entity and several associated individuals with misleading 100 investors - most of whom were seniors - resulting in $4.9 million in losses.
News & Insights
10 News Results
NFA adopted supervisory requirements and technical amendments concerning swap activities.
IOSCO issued a Consultation Report containing policy approaches to enhance protections for retail investors purchasing OTC leveraged products.
A FINRA hearing panel fined a New York State-based broker-dealer for supervisory failures and misrepresentations to issuers in connection with redemptions of debt securities on behalf of a customer.
Two Florida residents were ordered to pay restitution and penalties, and a New York resident was charged with violations, in relation to separate cases involving commodity pool fraud.