Stock Broker Fraud Blog :: Published by Houston Securities Fraud Lawyers Shepherd Smith & Edwards
Stock Broker Fraud Blog :: Published by Houston Securities Fraud Lawyers Shepherd Smith & Edwards Former Broker-Dealer Chanin Capital Settles SEC Charges That It Failed to Set Up Proper Insider Policies and Processes Former broker-dealer Chanin Capital LLC says it will pay a $75,000 fine to settle Securities and Exchange Commission charges that it failed to set up procedures and policies to prevent employees and others from misusing inside information. The firm’s compliance officer at the time, A. Carlos Martinez, agreed to cease and desist from further violations and to pay $25,000 in a related SEC administrative proceeding.
