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Securities Act s17(a)(3)
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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.