featured, Liquidnet, SEC
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The Securities and Exchange Commission today announced settled charges against broker-dealer Liquidnet Inc.
The Securities and Exchange Commission (SEC) has obtained a final judgment against Christopher S. Kirchner, the co-founder and former CEO of Slync, Inc.
The SEC today filed charges against Connecticut-based Dolphin Associates III, LLC, and its principal, Donald T. Netter.
featured, LPL, SEC, Wells Fargo
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The Securities and Exchange Commission (SEC) today announced settled charges against Wells Fargo Clearing Services LLC and LPL Financial LLC.
Deutsche Bank, featured, SEC
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The Securities and Exchange Commission (SEC) today charged registered broker-dealer Deutsche Bank Securities Inc., a subsidiary of Deutsche Bank AG.
The SEC today announced settled charges against Zachary Stevenson for perpetrating a fraudulent spoofing scheme.
featured, impersonators, SEC
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Chibuzo Augustine Onyeachonam, Stanley Chidubem Asiegbu, and Chukwuebuka Martin Nweke-Eze are charged with fraud.
featured, SEC, The Market Analysts Group
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The SEC has filed a lawsuit against David Banister and The Market Analysts Group, LLC.
clone, featured, PAUSE, SEC
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The Securities and Exchange Commission (SEC) today announced that it updated its list of unregistered entities.
Fair Invest, featured, SEC
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The SEC today announced settled charges against investment adviser Fair Invest, LLC and its sole officer and managing member, Khalid Parekh.
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