SA 1933 s17(a)(3)
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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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TD Securities charged with spoofing scheme, failing to supervise head of US Treasuries desk
The allegations revolve around hundreds of episodes of unlawful trading in the secondary (cash) market for US Treasuries.
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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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FINRA disciplinary action update #17
Disciplinary decisions issued June 9 – June 15, 2023.
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FINRA disciplinary action update #14
Disciplinary decisions issued May 19 – May 25, 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.
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Executives admit fraud in FTX case as formal charges laid
Caroline Ellison and Gary Wang agree to cooperate with ongoing investigations.