violations

SEC charges Key Investment Services with violations of Regulation BI

The Securities and Exchange Commission (SEC) today announced settled charges against Ohio-based dually-registered broker-dealer and investment adviser Key Investment Services, LLC for its failure to address conflicts of interest in compliance with Regulation Best Interest…






G.H. Financials to pay $150k fine for CME rule violations

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…