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Dual Registrants

JW Korth did not disclose before the completion of each transaction the capacity in which it was acting
Each of the firms were charged with Regulation S-P violations
None of the Cetera entities accounts had multi-factor authentication turned on
Cantella's interests were in conflict with its advisory clients' interests
Scam began as side-hustle, SEC claims
The Commission will continue to scrutinize firms' P&Ps related to 'risky' exchange-traded products
New WSPs and P&Ps concerning municipal trading, sales, and underwriting implemented by Hilltop Securities
The five settled cases are tied to unsuitable sales of volatility-linked exchange-traded products
CSM to pay $260K for breaching fiduciary duty, not adequately disclosing conflicts, and failing to seek best execution
Compliance bulletins on manipulative trading techniques seemingly ignored

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