SEC Slaps E*Trade for Unregistered Transactions, Issues Risk Alert
SEC says that brokerage subsidiaries of E*Trade engaged in unregistered sales of micro-cap stocks; also issues Risk Alert reminding BDs of unregistered transaction duties.
SEC, FINRA, DOL Enforcement Roundup: 8 Charged for Insider Trading on Pharma Deal
Among the recent actions taken by the regulators were a settlement of $1.27 million to be paid by an advisory firm to 13 pension plans and charges in an insider trading ring.
A Dot-Com Grows Up
E*Trade joins the financial services big leagues w