‘Enforcement 40’ for 2020
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By Securities Docket on December 27, 2013, 9:50 am
Instinet LLC, a New York brokerage, agreed to pay more than $813,000 to settle U.S. Securities and Exchange Commission charges that it made improper “soft dollar” payments to an investment firm while ignoring red flags that the payments should not have been made. via Instinet settles SEC charges it ignored soft dollar red flags — […]