SEC Network - Southeastern Conference
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SEC Network - Southeastern Conference
Get full access to the SEC Network and SEC Network Plus, including live games and programs such as SEC Nation and The Paul Finebaum Show.
Jul 14, 2014
Securities and Exchange Commission SEC Enforcement Actions
⚠️ SCAM ALERT – BLUE OCEAN SECURITIES LTD ⚠️ The Securities and Exchange Commission of Sri Lanka (SEC) warns the public that: 🛑Blue Ocean Securities Ltd is NOT licensed by the SEC and has no authority to trade in securities in Sri Lanka on behalf of investors. 🛑Its Chief Analyst is NOT a Registered Investment Advisor, nor is his assistant. 🛑According to the FCA Financial Services Register, Blue Ocean Securities Ltd is NOT licensed or authorized by the Financial Conduct Authority (FCA) UK. 🛑R
⚠️ SCAM ALERT – BLUE OCEAN SECURITIES LTD ⚠️ The Securities and Exchange Commission of Sri Lanka (SEC) warns the public that: 🛑Blue Ocean Securities Ltd is NOT licensed by the SEC and has no authority to trade in securities in Sri Lanka on behalf of investors. 🛑Its Chief Analyst is NOT a Registered Investment Advisor, nor is his assistant. 🛑According to the FCA Financial Services Register, Blue Ocean Securities Ltd is NOT licensed or authorized by the Financial Conduct Authority (FCA) UK. 🛑R
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Jones Day's Securities Litigation & SEC Enforcement Practice
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Enforcement Explain how the Securities and Exchange Commission ... | Filo
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Alert! The Securities and Exchange Commission of Sri Lanka (SEC) wishes to inform the public that “Gladius South Asia” is not licensed by the SEC to operate as a Market Participant within or outside Sri Lanka. The SEC does not regulate, nor does it grant licenses for entities to operate in foreign jurisdictions. It has come to the attention of the SEC that Gladius South Asia, in some instances, informs clients that it is licensed by the Financial Conduct Authority (FCA) in the United Kingdom. Ho
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