The Securities and Exchange Commission (SEC) today announced settled charges against The Pacific Financial Group, Inc., a registered investment adviser based in Bellevue, Washington, for violating the Marketing Rule. The charges concerned Pacific Financial advertising…
RBC Capital Markets, LLC has agreed to pay a fine of $75,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA). From January 2016 to at least December 2023, RBC’s system…
The Securities and Exchange Commission (SEC) today announced settled charges against Austin, Texas-based Kershner Trading Americas, LLC, a proprietary trading firm, for violating an SEC trading rule when it purchased stock in 23 public offerings…
International derivatives marketplace CME Group has posted a notice of disciplinary action against Barclays Capital Inc (BCI). Pursuant to an offer of settlement in which Barclays Capital neither admitted nor denied the finding or the…
International derivatives marketplace CME Group has issued a notice of disciplinary action against G.H. Financials, LLC. Pursuant to an offer of settlement in which G.H. Financials, LLC neither admitted nor denied the alleged rule violations,a…
The Securities and Exchange Commission (SEC) today announced settled charges against J.P. Morgan Securities LLC (JPMS) for impeding hundreds of advisory clients and brokerage customers from reporting potential securities law violations to the SEC. JPMS…