Posts In Dark Pools

UBS Fined Record $12 Million Plus $2.5m in Disgorgement, Interest for Dark Pool Disclosure Violations Jan 18
The Securities & Exchange Commission fined UBS Securities LLC an industry-record $12 million and ...
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Cetera Financial Group & Cetera Advisors Paid $4.2 Million Over Mutual Fund Misconduct
FINRA Fines Scottsdale Capital Advisors $1.5 Million, Bars John Hurry, Suspends Timothy DiBlasi & D Michael Cruz in Illegal $1.7 Million Cayman Islands Microcap Sales Scheme
Megurditch Patatian Barred for $8 Million of Unsuitable REIT & Variable Annuity Recommendations
WestPark Capital Sanctioned for Misrepresentations in $3.9 Million Promissory Note Sales
Gregory Scott Hanshew Accused of Disclosure, Sales Violations with Elder Investors

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