S EC Charges Merrill Lynch and Harvest Volatility Management for Ignoring Client Instructions
SEC penalizes firms, recovers more than $6 million of excess fees tied to options trading…
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SEC Charges Crypto Companies TrustToken and TrueCoin With Defrauding Investors Regarding Stablecoin Investment Program
Companies also charged with unregistered offer and sale of securities September 24, 2024/US SEC The…
Eleven Firms to Pay More Than $88 Million Combined to Settle SEC’s Charges for Widespread Recordkeeping Failures
One additional firm will not pay a penalty because it self-reported, self-policed, and demonstrated substantial…