The SEC charged accounting firm PricewaterhouseCoopers LLP with improper professional conduct in connection with 19 engagements o...
CN Editor
September 24, 2019
SEC CHARGES ADVISORY FIRM NAVY CAPITAL WITH MISREPRESENTING ITS ANTI-MONEY LAUNDERING PROCEDURES TO INVESTORS
THREE INVESTMENT ADVISER REPRESENTATIVES SETTLE SEC CHARGES FOR ACTING AS UNREGISTERED BROKERS
TWELVE FIRMS TO PAY MORE THAN $63 MILLION COMBINED TO SETTLE SEC"S CHARGES FOR RECORDKEEPING FAILURES
TWO ROBINHOOD BROKER-DEALERS TO PAY $45 MILLION IN COMBINED PENALITIES FOR VIOLATING MORE THAN 10 SEPARATE SECURITIES LAW PROVISIONS
Thank you for the feedback!!
CIRO SANCTIONS FORMER GRAVITAS SECURITIES INC. REP FROM TORONTO, ON
CIRO SANCTIONS FORMER RBC DOMINION SECURITIES REP FROM TORONTO, ON
NEW CIRO MEMBER - NDAX CANADA INC.
CIRO MEMBER CHANGE OF CONTROL: OPTIMIZE WEALTH PARTNERS INC.