Broker-Dealer to Pay $2.75 Million Penalty for Providing Deficient Blue Sheet Data
13/9/2018/US SEC The Securities and Exchange Commission today announced that Convergex Execution Solutions LLC, now…
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SEC Charges Hedge Fund Adviser With Short-and-Distort Scheme
12/9/2018/US SEC The Securities and Exchange Commission today charged a hedge fund adviser and his…
SEC Charges Three in Crude Oil Processing Scheme
12/9/2018/US SEC On September 7, 2018, the Securities and Exchange Commission filed an action against…