Neovest, a subsidiary of JPMorgan Chase & Co, has agreed to pay a $2.75 million penalty for its failure to register as a broker-dealer.
The SEC settled an enforcement action against Emperor Investments, a Canada-based robo-adviser, charged with defrauding investors.
Paragon Coin has failed to pay a $250,000 fine imposed on it by the SEC back in November 2018.
Cormark Securities Inc and Virtu ITG Canada Corp are charged with providing incorrect information that caused an executing broker’s violations of Regulation SHO.
BlueCrest Capital Management Limited has agreed to pay $170 million to settle charges brought by the Securities and Exchange Commission (SEC).