SEC Charges Broker-Dealer and CEO With Supervision Failures Related to Hedge Fund Valuation Scheme

Posted byScam Buster Leave a comment on SEC Charges Broker-Dealer and CEO With Supervision Failures Related to Hedge Fund Valuation Scheme

The Securities and Exchange Commission yesterday charged New York-based broker-dealer AOC Securities LLC, and its former chief executive officer, Ronaldo Gonzalez, with failing to supervise an AOC broker who provided inflated price quotes for certain…

from Press Releases https://ift.tt/33Q6ho0
via IFTTT

Leave a comment

Fill in your details below or click an icon to log in:

Gravatar
WordPress.com Logo

You are commenting using your WordPress.com account. ( Log Out /  Change )

Facebook photo

You are commenting using your Facebook account. ( Log Out /  Change )

Cancel

Connecting to %s

%d bloggers like this: