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Broker-Dealer to pay $2.75 million penalty

14/09/2018(0)
The U.S. financial regulator Securities and Exchange Commission (SEC) announced that Convergex Execution Solutions LLC, now known as Cowen Execution Services LLC, will pay $2.75 million to settle charges ... Read More
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Broker-dealer owner indicted in $17 million pump-and-dump scheme

24/03/2016(0)
Guy Gentile accusing of fraudulently inflating price of stocks Scheme involved Raven Gold Corp., Kentucky USA Energy Inc. The owner of a New York broker-dealer was charged with fraudulently inflating ... Read More
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SEC Charges Citigroup and agreed to pay $15 million

20/08/2015(0)
SEC Charges Citigroup Global Markets for Compliance and Surveillance Failures The Securities and Exchange Commission  announced that Citigroup Global Markets has agreed to settle charges that it failed to ... Read More
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SEC Charges Unregistered Securities Salesman

16/05/2014(0)
The U.S. Securities and Exchange Commission has charged a Tiburon, Calif.-based securities salesman for selling millions of dollars in oil-and-gas investments without being registered with the SEC as a ... Read More
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