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Breaking News

UBS’s recovery and emergency plans to be revised due to takeover of Credit Suisse

Broadridge introduces enhanced services and solution capabilities for international post-trade processing

Wise registers increase in cross border volumes, customer deposits, card revenue in Q2 FY25

ASIC warns of increase in reports of stolen shares

Majority of Hargreaves Lansdown shareholders vote in favor of acquisition offer by CVC, Nordic Capital

Red Rock

court gavel

CFTC News/ Regulatory News

California court hits Red Rock Secured and execs with $56M order for precious metals scam

Gerald Segal precious metals fraud, Red Rock, Red Rock Secured, Sean L. Kelly, Tony Spencer 0 Comments April 25, 2024

Red Rock’s Sean Kelly and Tony Spencer are barred from acting as investment advisers or broker-dealers in California and Hawaii.

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Regulatory News

CFTC charges Red Rock Secured, CEO with perpetrating $61.8M fraudulent scheme

Maria Nikolova CFTC, featured, Red Rock 0 Comments May 15, 2023

The CFTC complaint charges Red Rock Secured LLC, its Owner and CEO, Sean Kelly, and Senior Account Executive Anthony Spencer.

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LATEST NEWS

UBS’s recovery and emergency plans to be revised due to takeover of Credit Suisse
October 15, 2024
Broadridge introduces enhanced services and solution capabilities for international post-trade processing
October 15, 2024
Wise registers increase in cross border volumes, customer deposits, card revenue in Q2 FY25
October 15, 2024
ASIC warns of increase in reports of stolen shares
October 15, 2024
Majority of Hargreaves Lansdown shareholders vote in favor of acquisition offer by CVC, Nordic Capital
October 14, 2024

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