The Securities and Exchange Commission announced that broker-dealers Robinhood Securities LLC and Robinhood Financial LLC (collec...
CN Editor
January 15, 2025
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
SEC CHARGES FORMER PUBLIC COMPANY OFFICER AND HIS SISTER-IN-LAW WITH INSIDER TRADING
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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.