Tagged: joseph sansone

SEC Charges Canadian in Front-Running Scheme

The Securities and Exchange Commission has charged a trader at a Canadian-based asset management firm in an extensive front-running scheme that netted family members close to $4 million. For more than six years Sean Wygovsky allegedly traded in his family members’ accounts at brokerage firms… Read More

SEC Hits JPM Subsidiary With $2.75M Fine

The Securities and Exchange Commission (SEC) today announced JPMorgan Chase & Co. (NYSE:JPM) subsidiary Neovest, Inc. has agreed to pay a $2.75 million fine for failing to register as a broker-dealer in violation of federal securities laws. This is the first time the agency has… Read More

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