Virtu, a large market maker, to pay $2.5 million SEC fine over client trading data
NEW YORK, Dec 3 (Reuters) - Virtu Financial will pay a $2.5 million fine to settle U.S. Securities and Exchange Commission ...
Virtu to Pay $2.5M Fine Settling SEC Lawsuit
Virtu Americas will pay a $2.5 million fine to settle allegations by the Securities and Exchange Commission that the broker-dealer failed to protect its customers material, nonpublic information. The ...
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FINRA spanks Osaic B-D with $3M penalty linked to mutual fund switching
Switching clients’ mutual funds is well-established industry practice to generate commissions charged to clients.