InfoBytes

Archive: Securities

• FINRA receives AWC from investment firm after levying $75K fine

  October 25, 2024

• Investment advisory firm settles with SEC for alleged record-keeping violations and avoids civil penalty

  October 18, 2024

• FINRA issues AWC for trade reporting failures

  September 27, 2024

• SEC charges and fines 12 municipal firms with record-keeping violations

  September 20, 2024

• SEC charges 11 institutional investment managers with failing to file required reports

  September 20, 2024

• FINRA accepts placement agent’s AWC

  September 20, 2024

• SEC alleges whistleblower protection violations in customer gag clauses

  September 13, 2024

• SEC charges company for defrauding customers for $6M via false IPO

  September 13, 2024

• District Court dismisses FINRA challenge for lack of subject matter jurisdiction

  September 13, 2024

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