SEC Charges Corporate Insider and His Friend with Insider Trading
14/8/2019/US SEC On August 12, 2019, the Securities and Exchange Commission charged Harsh Nahata, a…
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SEC Wins Jury Trial Against Broker Charged with Insider Trading
14/8/2019/US SEC Today, jurors in Atlanta federal court returned a verdict finding New Jersey securities broker…
SEC Charges Broker-Dealer with Violations of Gatekeeping Provisions Aimed at Protecting Investors
August 14, 2019/US SEC The Securities and Exchange Commission today charged Canaccord Genuity LLC, a broker-dealer…