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SEC.gov | Michael Blumer, John Kuprianchik, David Page, Steven Thompson, Joseph Todaro

SEC.gov | Michael Blumer, John Kuprianchik, David Page, Steven Thompson, Joseph Todaro
sec.gov - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from sec.gov Daily Mail and Mail on Sunday newspapers.

United States , New York , Dee Ann Disalvo , John Celio , Ronald Krietzman , Michael Blumer , Steven Thompson , Joseph Todaro , Christopher Dunnigan , Alison Conn , David Jaffe , John Kuprianchik , Tejald Shah , Division Of Examinations , Securities Exchange , Salomon Whitney , York Regional Office , United States District Court , Exchange Commission , David Page , Five Registered Representatives , Regulation Best Interest , Excessive Trading , Eastern District , Securities Act , Securities Exchange Act ,

SEC Charges SW Financial Reps With Violating Reg BI

The SEC charged five registered reps from SW Financial for allegedly violating Regulation Best Interest when recommending high-volume trading strategies. ....

Thomas Diamante , Christopher Kelly , Joseph Todaro , Salomon Whitney , John Kuprianchik , Michael Blumer , Steven Thompson , Enforcement Division , International Securities , Exchange Commission Regulation Best Interest , Exchange Commission , Regulation Best Interest , David Page , Western International Securities ,