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SEC CHARGES FORMER EXECUTIVES WITH FRAUD IN CONNECTION WITH $1.9 BILLION COLLAPSE OF SUBPRIME AUTO LENDER TRICOLOR

The Securities and Exchange Commission charged Daniel Chu, Jerome Kollar, and Ameryn Seibold, the former CEO, CFO, and Senior Director of Finance, respectively, at Texas-based Tricolor Holdings, LLC,...

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FCA
FCA FINES AND BANS FORMER SVS SECURITIES CEO
August 20, 2026

The FCA has banned Demetrios Hadjigeorgiou from working in senior management positions in financial services and fined him £56,40...

Investment Executive
CANACCORD TO BUY U.K. WEALTH MANAGER WITH £3.1B IN AUM
August 20, 2026

Canaccord Genuity Group Inc. is expanding its U.K. footprint with a deal announced Wednesday to acquire EFG Harris Allday. The we...

Investment Executive
AI DERIVATIVES MARKET DOES NOT COMPUTE, YET
August 20, 2026

As the fortunes of the U.S. stock market, and increasingly the economy, become more closely tied to the development of AI, U.S. d...

Investment Executive
CFTC WRAPS ENFORCEMENT AGAINST PAIR IN FTX CASE
August 20, 2026

The U.S. Commodity Futures Trading Commission (CFTC) has resolved its enforcement actions against a pair of key players in the FT...

Investment Executive
EXEC CHARGED FOR TRADING AHEAD OF DISMAL RESULTS
August 20, 2026

An executive at a U.S. medical device company is facing insider trading charges, amid allegations that he shorted his company aft...

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