The Commission’s complaint alleged that, from at least March 2011 to December 2013, Allen, through his broker dealer PAA, sold AGF II securities in a ...
The Commission’s complaint alleged that, from at least March 2011 to December 2013, PAA, through its owner Allen, sold AGF II securities in a private ...
The Securities and Exchange Commission (“Commission” or “SEC”) is proposing to amend Regulation NMS under the Securities Exchange Act of 1934 (“Exchange Act”) to rescind ...
The count of the criminal indictment to which Jung pled guilty alleged, inter alia, that from October 2015 to October 2016, in violation of the ...
GFI publicly represented itself as an interdealer broker (“IDB”) that generally maintained the anonymity of customer identities when brokering securities trades and communicating with potential ...
We are adopting a new communications rule under the Securities Act of 1933 that permits issuers to engage in oral or written communications with certain ...
Agarwal took short positions in U.S. Treasury Bonds (“USTs”) that exceeded his trading mandate, resulting in large losses. At the same time, Agarwal mismarked certain ...
The count of the superseding criminal information to which Sledziejowski pleaded guilty alleges that the SEC had commenced an investigation into sales of certain securities ...
Although TMC’s safeguards and procedures provided generally that subscribers’ identities would remain anonymous when trading on the ATS, TMC failed to establish adequate procedures designed ...