The SEC announced settled administrative proceedings against Swapnil Rege, a North Brunswick, New Jersey portfolio manager and tr...
CN Editor
July 19, 2019
SEC CHARGES NEW JERSEY INVESTMENT ADVISER AND HIS FIRM WITH FRAUD AND OTHER VIOLATIONS
SEC CHARGES INVESTMENT ADVISER AND TWO OFFICERS FOR MISUSE OF FUND AND PORTFOLIO COMPANY ASSETS
FILER TRANSITION TO NEW AND IMPROVED EDGAR BEGINS MARCH 24
SEC CHARGES JUSTINAS BUTKUS WITH ORCHESTRATING $4 MILLION FRAUD
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CIRO COMPLIANCE REPORT FOR 2025: HELPING DEALERS WITH COMPLIANCE
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