Enforcement

Pair gamed 'meme stonk' chaos, feds claim

One in five deficiencies linked to suitability, NASAA says

Funds face 'stress-test'

Last domino in Sentinel scheme falls

In total, on about 3,000 occasions, Polevikov used this material non-public information to execute trades in his wife’s brokerage account in the same securities and ...

Helikon did not qualify for an exception to Rule 105 when it purchased shares in the Offering

Oseas Zuluaga knew, or should have known, that Revere’s proprietary holdings should have been included in the calculation of Revere’s net capital

Coda did not always provide its subscribers with information indicating where their orders had been routed or executed

Certain MMLIS and MSI advisory clients to invest in share classes of mutual funds in the Clearing Broker’s NTF and TF Programs that resulted in ...

Regal’s compliance manual designated Yarch with implementing Regal’s compliance program as well as monitoring and updating Regal’s Form ADV disclosures. In November 2019, Regal adopted ...