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INVESTOR ALERT: FRAUDSTERS IMPERSONATING RESEARCH CAPITAL CORPORATION AND FALSELY CLAIMING CIRO AFFILIATION

The Canadian Investment Regulatory Organization (CIRO) is warning investors about fraudsters impersonating Research Capital Corporation, a legitimate CIRO-regulated firm by using their name, address,...

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SEC
SEC CHARGES SOUTH FLORIDA RESIDENT AND HIS COMPANY FOR ALLEGED INVESTMENT SCHEME DEFRAUDING LAW ENFORCEMENT
September 24, 2026

The Securities and Exchange Commission charged CMI Capital LLC and its founder and manager, Michael D. Williams, for an alleged f...

SEC
SEC PUBLISHES UPDATED MARKET STATISTICS, HIGHLIGHTING INCREASE IN IPOS AND PROCEEDS RAISED
September 24, 2026

The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) published updated statistics and data visu...

Investment Executive
SEC WRAPS ACTION AGAINST FRONT RUNNERS
September 24, 2026

The U.S. Securities and Exchange Commission (SEC) has wrapped up its case against a former pension fund trader and a retiree from...

CFTC
CFTC SPEAKS UP ON "MENTION MARKETS"
September 24, 2026

Event contracts based on whether a politician says a particular word in a speech — or other events that are entirely in the contr...

Investment Executive
SEC SANCTIONS FIRM OVER REP"S MISCONDUCT
September 24, 2026

The U.S. Securities and Exchange Commission (SEC) has sanctioned investment advisor firm Truist Advisory Services Inc. for failin...

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