Closed-End Funds’ Month to Shine
SEC, FINRA Enforcement Roundup: Former Billion-Dollar Hedge Fund Advisory Firm, Execs Slapped
Citigroup, Merrill Lynch and Natixis were among those sanctioned by the SEC and FINRA this week.
SEC, FINRA Enforcement Roundup: $268M Insider Trading Scheme Busted
Charges of insider trading in a secondary stock offering, accounting violations and efforts by a phony company president to push a fake penny-stock investment were among enforcement actions taken by the SEC.