The Securities and Exchange Commission (SEC) today announced charges against Glen A. Stewart, CEO of Wiser Investments, Inc.
JM Capital and its owner Christopher Fulco will have to pay disgorgement of $1.6 million to settle fraud charges.
Cormark Securities Inc and Virtu ITG Canada Corp are charged with providing incorrect information that caused an executing broker’s violations of Regulation SHO.
The SEC charged ICE Data Pricing & Reference Data LLC for compliance deficiencies relating to its delivery of prices based on single broker quotes.
BlueCrest Capital Management Limited has agreed to pay $170 million to settle charges brought by the Securities and Exchange Commission (SEC).