Glen Stewart, SEC settlement, Wiser Investments
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The Securities and Exchange Commission (SEC) today announced charges against Glen A. Stewart, CEO of Wiser Investments, Inc.
Christopher Fulco, JM Capital, SEC, SEC settlement
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JM Capital and its owner Christopher Fulco will have to pay disgorgement of $1.6 million to settle fraud charges.
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.
ICE Data, ICE fine, SEC settlement
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The SEC charged ICE Data Pricing & Reference Data LLC for compliance deficiencies relating to its delivery of prices based on single broker quotes.
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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