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Recent Posts in Clearing Firm Liability Category

SEC Fines LA-Based Electronic Transaction Clearing $80,000, Issues Cease-And-Desist Order for Margin Securities Failures

The Securities and Exchange Commission initiated cease-and-desist proceeding against Electronic Transaction Clearing, LLC of Los Angeles, finding that the firm moved tens of millions of dollars in ...
Continue reading "SEC Fines LA-Based Electronic Transaction Clearing $80,000, Issues Cease-And-Desist Order for Margin Securities Failures" »

Complaint Filed Against Electronic Transaction Clearing's Kevin Murphy and David DiCenso for Supervisory Violations

The Department of Market Regulation filed a complaint against Los Angeles-based Electronic Transaction Clearing, Inc. President and COO Kevin Murphy and former Chief Compliance Officer David DiCenso ...
Continue reading "Complaint Filed Against Electronic Transaction Clearing's Kevin Murphy and David DiCenso for Supervisory Violations" »

Pershing LLC Fined $3 Million for Supervisory, Customer Protection Violations

FINRA fined clearing firm Pershing LLC $3 million for violating the SEC Customer Protection Rule that establishes requirements in the interest of safeguarding customer funds and securities from ...
Continue reading "Pershing LLC Fined $3 Million for Supervisory, Customer Protection Violations" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
Located at 12711 Ventura Boulevard, Suite #440 Studio City, CA 91604. View Map
Phone: (800) 699-1881 | Local Phone: (818) 760-9880.
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