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Year: 2023

Posted on by T. Gorman Posted in SECActions

Free riding is often, but not always, a profitable but prohibited endeavor for traders. The practice is based on defrauding brokers by opening an account, funding it with money to come from another account of the trader which lacks funds, …

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Posted on by T. Gorman Posted in SECActions

Summer is heading for its traditional close at Labor Day as many have either returned to school or are finalizing their plans. The Commission, however, remained busy at work publishing new rules for private funds and a series of cases …

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