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Examinations Enforcement: Settlement

A business man in denial. An image using humour to represent ignorance, denial and obstinate views we see when people refuse to see the truth.
A host of compliance slip-ups and CCO changes feed into this enforcement action
Portrait of young handsome businessman with closed eyes and fingers in ears, not listening, isolated on gray
Cambria opened an account for a customer even though Cambria was aware of numerous red flags as identified in its WSPs as a result of ...
Business Team Investment Entrepreneur Trading discussing and analysis graph stock market trading,stock chart concept
Respondents violated their duty to seek best execution on behalf of their clients by placing client transactions with HSC without evaluating whether HSC’s transaction fees ...
Unrecognizable man taking notepad from his female colleague in the office. Focus is on his hand and note pad.
Throughout its history, Ensign Peak was required to file Forms 13F identifying and providing certain information about the Section 13(f) Securities that it managed for ...
Firm failed to establish and maintain a supervisory system, including WSPs, to achieve compliance with Reg BI
A young man lying on the ground after slipping on a banana peel
"When any of the account information was updated in the CMS System, however, the previous recorded account information for that category was permanently overwritten and ...
Two Brokers in Euphoria
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"
Business man falling down the stairs in the office concept for accident and insurance injury claim at work
Moors & Cabot failed to fully and fairly disclose in its brochures or otherwise material information related to its own disciplinary history, as well as ...
Red Cliff Preserve, Red Rock Canyon State Park, California, USA.
Randy Robertson requested generally that Aviron help his daughter’s career, and on occasions Aviron presented her with potential opportunities in the film industry
Soccer player injured in the game between friends
"Since 2012, when Two Point first registered with the Commission, Two Point failed to adopt and implement reasonably designed compliance policies and procedures, and to ...

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