Gathright admitted that between June 2010 and September 2011, he used his position at Merrill to cause companies maintaining annuities for his clients to issue ...
CGMI failed to adequately disclose to all users that orders sent to Citi Match could be routed to, and executed in, various external venues. This ...
These proceedings arise out of Convergex’s failure to submit to the Commission true and complete data in response to Commission staff electronic blue sheets (“EBS”) ...
Because the digital tokens issued in the ICOs and traded by Respondents included securities, the Respondents’ activities required broker-dealer registration with the Commission. By effecting ...
These proceedings arise out of the failure by Cadaret Grant, Grant and Johnson (the “Supervisory Respondents”) reasonably to supervise Cadaret Grant’s registered representatives with respect ...
Burstein aided and abetted Quiros' misappropriation and misuse of investor money that flowed through various brokerage accounts held at Raymond James. Burstein, who is Quiros' ...
Bahn also took steps to circumvent Colliers’ then existing internal accounting controls by making false statements, fabricating documents, and creating multiple email accounts in order ...
David C. Delaney (“Delaney”) and Kass played a critical role in the fraud, including the signing and filing of a Form 211 application with the ...
Delaney has been the Chief Executive Officer, AML Compliance Officer, registered principal and registered representative of DEG from May 2007 to the present. From October ...