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Tagged with "investigation"

Lake Geneva Investor Settles SEC Market-Timing Probe for $2.37 Million

Posted on September 12th, 2019 at 11:44 AM
Lake Geneva Investor Settles SEC Market-Timing Probe for $2.37 Million

A mutual fund investor agreed to pay the Securities and Exchange Commission (“SEC”) nearly $2.37 million to end an investigation.

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FINRA Discipline: FINRA Rule 9268

Posted on January 28th, 2017 at 10:00 AM
FINRA Discipline: FINRA Rule 9268

This is the twentieth in a series of posts to discuss the rules associated with the FINRA disciplinary process.

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November 14th, 2019 at 11:46 AM
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