On October 1, 2019, a federal court judge entered final judgments against New York-based brokerage firm Lek Securities Corp. and ...
CN Editor
October 03, 2019
SEC ADOPTS AMENDMENTS TO UPDATE DEFINITIONS OF SMALL ENTITY FOR INVESTMENT COMPANIES AND INVESTMENT ADVISERS
SEC WRAPS OFFSHORE BOILER ROOM CASE
EQUITY PERPETUAL FUTURES APPROVED BY U.S. REGS
ADVISORY FIRM BREACHED FIDUCIARY DUTIES: SEC
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OSC FLAGS ISSUES WITH INDUSTRY AI USE
NEW WEALTH GROUP LAUNCHES PM BUSINESS COMBINING 4 FIRMS
CIRO ALLEGES GATEKEEPER FAILURES BY CANACCORD GENUITY REP FROM CALGARY, AB
AMEX SANCTIONED FOR AML FAILINGS