Broker-Dealer Illegally Placed More Than $25 Million of Securities at Risk
Electronic Transaction Clearing Agrees to Settle Charges That it Illegally Placed More Than $25 million of Customer Securities at Risk to Fund Its Own Operations On March 19, 2018, the Securities and Exchange Commission announced that Los Angeles-based Electronic Transaction... Read More →
Over 117 Million Illegal Telemarketing Calls to Consumers
Utah-Based Operation Settles FTC Charges – Defendants Barred from Violating the Telemarketing Sales Rule & Calling Numbers on the National Do Not Call Registry The Federal Trade Commission announced that three Utah-based firms and their owner, which a federal court jury... Read More →