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SEC Shutdown Increase Fraud?

SEC Shutdown Increase Fraud?

Due to this partial shutdown of the federal government, the SEC is Currently working with a skeleton crew and can not perform its essential job: protecting markets and investors. “Powerful Thursday, Dec. 27 and until further notice, the agency is going to have...
Broker Dealer & Firms Fined By FINRA in December 2018

Broker Dealer & Firms Fined By FINRA in December 2018

CIM Securities, LLC (CRD® #120852, Centennial, Colorado)October 3, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which the firm was censured and fined $15,000. Without admitting or denying the findings, the firm consented to the sanctions and...
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