featured, Merrill Lynch, SEC fine
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The SEC has charged Merrill Lynch, Pierce, Fenner & Smith Incorporated in connection with more than $4 million in undisclosed Forex fees.
JPMorgan, Neovest, SEC fine
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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.
Emperor Investments, robot-advisor, SEC action, SEC fine
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The SEC settled an enforcement action against Emperor Investments, a Canada-based robo-adviser, charged with defrauding investors.
Blockchain, cryptocurrency fraud, Paragon Coin, SEC, SEC fine
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Paragon Coin has failed to pay a $250,000 fine imposed on it by the SEC back in November 2018.
Cormark Securities, SEC fine, SEC settlement, Virtu ITG Canada
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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, SEC fine, SEC settlement
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BlueCrest Capital Management Limited has agreed to pay $170 million to settle charges brought by the Securities and Exchange Commission (SEC).
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