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May 4, 2022
The decision of the Securities and Exchange Commission (SEC) to reverse its earlier decision that revoked the license and registration of Venture Securities Inc. as broker dealer is viewed by most stockbrokers as a vindication of their profession. In a chat over lunch, Eagle Securities President Joey Roxas and company…
June 16, 2021
SEC panel revokes R&L license for trading fraud enablePagination: false endIndex: Metro Manila (CNN Philippines, June 15) – A special hearing panel of the Securities and Exchange Commission (SEC) revoked the license of R&L Investments, Inc. more than a year since it was discovered that a rogue employee illegally transferred over ₱1 billion shares owned by existing clients to an account in another firm. The unit of SECs Market and Securities Regulation Department also revoked the brokerage...
June 14, 2021
The Securities and Exchange Commission (SEC) has revoked the license of Ventures Securities, Inc. (VSI) and slapped P32 million in penalties against the brokerage and its officers for the fraudulent transfer of P700 million worth of client shares from R&L Investments, Inc. An SEC special he