…keep the fallowing n mod when tang this statement to ha yea JAMS: brokerage seedy This statement combats you general maga ac cunt nsth the spec& memorandum account required by Section 220 6 Regulatan T As censored by Regubbon T…
…is iesoonsible for the method of transmission of any instructions issued pursuant to this euthorization. If the ....censored elects to transmit any such instrJcions w fax (including cesuoP fad. via email or as en image attachment to email (e.g.…
…LLC submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $45,000. The findings stated that the ECN's supervisory system did not provide for supervision reasonab…
…fine for manipulating Libor. If we're counting, Barclays was censured on only three fronts by the UK's Financial Services Authority, whereas we received four black marks last week for the Whale affair from its successor, the Financial Conduct…
…in the SHO Order to (1) cease and desist from committing or causing any violations and any future violations of Rule 203(b) of Regulation SHO; (2) be censured; (3) pay disgorgement of $1,566,245.67 plus prejudgment interest…
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