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25 results

Source records 101 to 125 of 908, in corpus order.

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Person
Matthew Clark
United States
Regulator action
1 source
Type not stated
Citibank, N.A.
United States
Regulator action
1 source
Company
Jefferies
Company
Also known as Jefferies LLC; Jefferies Financial Services, Inc.
Regulator action
1 source
Person
Roman Banoczay Jr.
Slovakia
Regulator action
1 source
Type not stated
Grovee LLC d/b/a ROFX
Type not stated
Also known as ROFX
Regulator action
1 source
Type not stated
Regal Assets LLC
Type not stated
Regulator action
1 source
Type not stated
Notus LLC d/b/a ROFX
Type not stated
Also known as ROFX
Regulator action
1 source
Company
BAZUR Spol. S.R.O.
Slovakia
Regulator action
1 source
Person
Alexander Spellane a/k/a Alexander Overlie
Person
Also known as Alexander Overlie
Regulator action
1 source
Company
Buttonwood LLC
Company
Also known as Buttonwood
Regulator action
1 source
Company
Credit Suisse
Company
Also known as Credit Suisse Securities (USA) LLC; Credit Suisse International
Regulator action
1 source
Company
SwapStar Capital LLC
Company
Also known as SwapStar
Regulator action
1 source
Type not stated
Easy Com LLC d/b/a ROFX
Type not stated
Also known as ROFX
Regulator action
1 source
Type not stated
Asset Risk Management, LLC
United States
Regulator action
1 source
Type not stated
Tradition SEF LLC
Type not stated
Also known as TSEF
Regulator action
1 source
Person
Zixiao “Gary” Wang
United States
Regulator action
1 source
Person
Frances Evans
United States
Regulator action
1 source
Person
Rashawn Russell
Person
Regulator action
1 source
Person
Jase Davis
Person
Regulator action
1 source
Person
Valdas Dapkus
Person
Regulator action
1 source
Company
K.E.L. Enterprises, Inc
Company
Regulator action
1 source
Person
Yueyu Bao
Person
Regulator action
1 source
Person
Anna Shymko
Person
Regulator action
1 source
Article
CFTC Charges Texas Resident with Misappropriating Confidential Information and Participating in a Brokerage Kickback Scheme
Article
No risk topic published
1 source
Type not stated
Systematic Alpha Management, LLC
United States
Regulator action
1 source