An MFDA Hearing Panel approved a settlement with De Thomas Wealth Management Corp. (“De Thomas") where De Thomas admitted that it...
CN Editor
February 15, 2019
CFTC ORDERS GOLDMAN SACHS TO PAY $3 MILLION FOR SUPERVISION FAILURES AND MATERIAL OMISSIONS IN A LETTER TO THE CFTC"S DIVISION OF ENFORCEMENT
CFTC ORDERS INTERACTIVE BROKERS TO PAY $20 MILLION FOR RECORDKEEPING AND SUPERVISION FAILURES FOR WIDESPREAD USE OF UNAPPROVED COMMUNICATION METHODS
SEC CHARGES CORPORATE INSIDERS FOR FAILING TO TIMELY REPORT TRANSACTIONS AND HOLDINGS
IIAC: RECOMMENDATIONS FOR OSC ENFORCEMENT MONEY
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CIRO ALLEGES PI FINANCIAL CORP REP FAILED IN HIS GATEKEEPER OBLIGATIONS
COMPETENCY PROFILES FOR APPROVED PERSONS (INVESTMENT DEALERS)
SEC CHARGES VIRTU FOR FALSE AND MISLEADING DISCLOSURES RELATING TO INFORMATION BARRIERS
CIRO ADVISORY COMMITTEES