The SEC announced fraud charges against a Brooklyn individual and two entities under his control who allegedly engaged in a fraud...
CN Editor
August 14, 2019
JSOT CRIMINALLY CHARGES ALEXANDER (ALEX) FRANCIS ONGOMA
SEC ISSUES EXEMPTIVE ORDER REGARDING COMPLIANCE WITH CERTAIN RULES UNDER REGULATION NMS
OSC ISSUES TEMPORARY CEASE TRADE ORDER AGAINST ADAM JOSEPH ARQUETTE AND ARQUETTE INSURANCE AND WEALTH MANAGEMENT
MODERNIZING SEC RULES TO REFLECT TODAY"S COMMUNICATIONS PRACTICES
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OSC SEEKS TO ENFORCE D&O SANCTIONS
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS
FINANCIAL PLANNER LOSES CERTIFICATION OVER DISCRIMINATORY SOCIAL MEDIA POSTS
AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP