The Securities and Exchange Commission charged Connecticut-based investment adviser Navy Capital Green Management, LLC with makin...
CN Editor
January 15, 2025
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
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.