A broker-dealer settled charges with the SEC for mismarking millions of short- and long-sale orders.
News & Insights
888 News Results
A broker-dealer settled SEC charges for reporting incomplete and inaccurate securities trading information on required electronic blue sheet submissions.
The SEC adopted rule amendments to prevent investment companies from adopting names that may mislead investors.
A registered representative reached a settlement with the SEC regarding his failure to report red flags to his firm's AML group in connection with a wire transfer from a customer's account to the account of a relative of that customer.
Before the United States District Court for the Southern District of New York, the SEC charged a broker-dealer for failing to protect its customers' trading information.