SEC News

SEC Charges Broker-Dealer and CEO With Supervision Failures Related to Hedge Fund Valuation Scheme

Washington D.C., Aug. 21, 2019 — The Securities and Exchange Commission yesterday charged New York-based broker-dealer AOC Securities LLC, and its former chief executive officer, Ronaldo Gonzalez, with failing to supervise an AOC broker who provided inflated price quotes for certain securities to a significant customer of AOC. According to the SEC’s orders, Frank Dinucci […]

SEC News

SEC Clarifies Investment Advisers’ Proxy Voting Responsibilities and Application of Proxy Rules to Voting Advice

Washington D.C., Aug. 21, 2019 — The Securities and Exchange Commission today provided guidance to assist investment advisers in fulfilling their proxy voting responsibilities. The guidance discusses, among other matters, the ability of investment advisers to establish a variety of different voting arrangements with their clients and matters they should consider when they use the […]

FCA News

ASC UK (clone of authorised firm)

Almost all firms and individuals carrying out financial services activities in the UK have to be authorised or registered by us. This firm is not authorised or registered by us but has been targeting people in the UK, claiming to be an authorised firm. This is what we call a ‘clone firm’; and fraudsters usually […]

FCA News

Brown and Bullock Capital Partners

Almost all firms and individuals offering, promoting or selling financial services or products in the UK have to be authorised by us. However, some firms act without our authorisation and some knowingly run investment scams.  This firm is not authorised by us and is targeting people in the UK. Based upon information we hold, we […]

FCA News

Highsmith Capital Partners

Almost all firms and individuals offering, promoting or selling financial services or products in the UK have to be authorised by us. However, some firms act without our authorisation and some knowingly run investment scams.  This firm is not authorised by us and is targeting people in the UK. Based upon information we hold, we […]

FCA News

Breckland Trading

Almost all firms and individuals offering, promoting or selling financial services or products in the UK have to be authorised by us. However, some firms act without our authorisation and some knowingly run investment scams.  This firm is not authorised by us and is targeting people in the UK. Based upon information we hold, we […]

FCA News

Rendex Trading

Almost all firms and individuals offering, promoting or selling financial services or products in the UK have to be authorised by us. However, some firms act without our authorisation and some knowingly run investment scams.  This firm is not authorised by us and is targeting people in the UK. Based upon information we hold, we […]

SEC News

SEC Charges ICO Research and Rating Provider With Failing to Disclose It Was Paid to Tout Digital Assets

Washington D.C., Aug. 20, 2019 — The Securities and Exchange Commission announced today that Russian entity ICO Rating has agreed to pay $268,998 to settle charges that it failed to disclose payments received from issuers for publicizing their digital asset securities offerings.   The SEC’s order found that between December 2017 and July 2018, ICO Rating […]