Tag Archives: suspicious trading

SEC Fine Suspicious Trading

On Sep. 28, SEC charged BD for reporting¬†suspicious trading. Brokerage COR Clearing to exit penny stock deposit business, and pay a fine. Alleged Violations From 2015- 2016, COR cleared a large amount of penny stock for customers. 193 client accounts deposited large blocks of low-priced securities, with firm. The clients then quickly sold the same…
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