SA 1933 s17(a)(2)
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JP Morgan affiliates to pay $151m to resolve five SEC enforcement actions
Five SEC enforcement actions include allegations that some advisers’ recommendations were not in the best interest of clients.
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SEC sues Virtu Financial for misleading customers about data safeguards
Charges filed against broker-dealer and parent company over access to confidential trading information.
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Private equity firm fined $20.5m by SEC for disclosure failures
The SEC charged the private equity firm for failing to adequately disclose millions of dollars of real estate brokerage fees that were paid to a real estate brokerage firm owned by its CEO.
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FINRA disciplinary action update #17
Disciplinary decisions issued June 9 – June 15, 2023.
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Bribes, crypto fraud and unregistered brokers attract SEC charges
In this week’s roundup, we see a mix of charges, including disclosure failings within a donor data management software company.