SEC obtains final judgment against individual in $33M fraud scheme
The Securities and Exchange Commission (SEC) confirmed today that it has obtained a final judgment against James B. Panther, Jr. for his role in a fraudulent scheme.
SEC
SEC charges One Oak Capital Management, Michael DeRosa for misconduct related to advisory services
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The SEC today filed settled charges against New York-based registered investment adviser One Oak Capital Management LLC.
SEC announces settled charges against three investment adviser reps
The SEC today announced settled charges against investment adviser representatives Tamir Shabat, Danny Z. Spiegel, and Joseph J. Orlando, Jr.
Robinhood to pay $45M in civil penalties to settle SEC charges
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Two Robinhood broker-dealers have agreed to pay $45 million in combined penalties for violating more than 10 separate securities law provisions.
SEC charges BMO Capital Markets with failing to supervise agency bond desk
The Securities and Exchange Commission (SEC) today charged registered broker-dealer BMO Capital Markets Corp. with failing to supervise employees.
SpeedRoute to pay $600k fine to settle SEC charges
The Securities and Exchange Commission (SEC) has announced settled charges against SpeedRoute LLC.
Liquidnet to pay $5M civil penalty to resolve SEC charges
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The Securities and Exchange Commission today announced settled charges against broker-dealer Liquidnet Inc.
SEC obtains final judgment against former CEO of Slync
The Securities and Exchange Commission (SEC) has obtained a final judgment against Christopher S. Kirchner, the co-founder and former CEO of Slync, Inc.
SEC files charges against Dolphin Associates III and Donald Netter
The SEC today filed charges against Connecticut-based Dolphin Associates III, LLC, and its principal, Donald T. Netter.
Wells Fargo and LPL Financial agree to pay $900k civil penalty to resolve SEC charges
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The Securities and Exchange Commission (SEC) today announced settled charges against Wells Fargo Clearing Services LLC and LPL Financial LLC.
