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The U.S. Securities and Exchange Commission on Tuesday said it has charged a former partner at audit firm Marcum LLP over quality control failures, the regulator said in a statement.... -Today at 09:18 am- MarketScreener
By Chris Prentice NEW YORK (Reuters) -The U.S. Securities and Exchange Commission on Tuesday said it has charged a former national office leader at audit ...
Alternative investment platform YieldStreet and a subsidiary have agreed to pay over $1.9 million to settle U.S. Securities and Exchange Commission charges that they failed to give investors critical... -Today at 01:24 pm- MarketScreener
NEW YORK (Reuters) -The U.S. Securities and Exchange Commission on Tuesday sued Virtu Financial, a broker-dealer that handles 25% of all market orders placed by retail investors in the U.S., for misleading customers into believing it properly safeguarded their confidential information. In a complaint filed in federal court in Manhattan, the SEC said Virtu repeatedly and falsely told customers that it used "information barriers" and "systemic separation between business groups" to protect their material nonpublic information. The SEC said that, in reality, "anyone...
NEW YORK (Reuters) -Investment platform YieldStreet Inc and a subsidiary have agreed to pay more than $1.9 million to settle U.S. Securities and Exchange ...