SEC Charges Trader with Front Running Employer’s Client Accounts Complaint Alleges over $3.6 Million in Illicit Gains July 7, 2021 The SEC has filed a complaint in New York...
SEC Fines Adviser for Failing to Comply with Trade Aggregation Policies December 18, 2019 The SEC censured and fined a Chicago-based investment adviser $50,000 for failing to comply with...
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