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He engaged in "a pattern of high cost, in-and-out trading without any reasonable basis to believe that his recommendations were suitable for anyone"
Noisy investors can bring unwelcome regulatory attention.
'Come forward, cooperate and remediate,' top prosecutor says
'You’ll want something with a strong use-case,' Gerold says
If you think cybersecurity is tough now, don’t worry. It’s going to get worse.
The SEC adjusts penalties due to inflation
Fines were adjusted in 2023
Randy Robertson requested generally that Aviron help his daughter’s career, and on occasions Aviron presented her with potential opportunities in the film industry
The adviser did not have procedures or controls in place to identify or monitor cross trades involving RICs. It also did not conduct any testing ...
Exams focus on alt data, suspicious "wins"
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