Nabors admitted that he entered into an agreement with a U.S. Department of Treasury Management Analyst whereby the Management Analyst was to use government credit ...
This document makes technical corrections to a rule that was published in the Federal Register on August 7, 2018.
Palermo entered certain fictitious sales orders in J.P. Turner’s books, records and electronic trading systems, despite knowing that the named counterparty/purchaser had never agreed to ...
Simanski made material misrepresentations to his clients to induce them to send money to him personally to invest in companies which he claimed to own ...
ITG did not adequately limit access to GATE, a firm system containing all order flow routed through ITG, including open child-level POSIT order information for ...
The Securities and Exchange Commission (“Commission” or “SEC”) is adopting amendments to Regulation National Market System (“Regulation NMS”) under the Securities Exchange Act of 1934 ...
Graham consented to a Commission order that, among other sanctions, imposed a securities industry bar and a penny stock bar with a right to apply ...
1Broker, registered in the Republic of the Marshall Islands, and its CEO Patrick Brunner solicited investors from the United States and around the world to ...