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By Marlene Y. Satter, AdvisorOne |
October 25, 2012
Among recent SEC and FINRA actions were Cantor Fitzgerald being censured and fined and FINRA imposing a $14 million settlement on a Hong Kong-based firm charged with insider trading.
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By Marlene Y. Satter, AdvisorOne |
August 2, 2012
There was an international flavor to some of the recent actions taken by the SEC and FINRA, including freezing $38 million in assets in an international insider trading case and charges involving a Chinese reverse merger company.