Clearing Firm Liability

Posts In Clearing Firm Liability

SEC Fines LA-Based Electronic Transaction Clearing $80,000, Issues Cease-And-Desist Order for Margin Securities Failures Mar 21
The Securities and Exchange Commission initiated cease-and-desist proceeding against Electronic ...
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Complaint Filed Against Electronic Transaction Clearing's Kevin Murphy and David DiCenso for Supervisory Violations Apr 08
The Department of Market Regulation filed a complaint against Los Angeles-based Electronic ...
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Pershing LLC Fined $3 Million for Supervisory, Customer Protection Violations Jan 07
FINRA fined clearing firm Pershing LLC $3 million for violating the SEC Customer Protection Rule ...
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