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SEC alleges SeeThruEquity defrauded investors over false claims of 'unbiased' research reports

By Marian Johns | Nov 12, 2018

WASHINGTON, D.C. — A stock research firm is being accused of defrauding investors by issuing reports that featured research that the firm said was "unbiased," after allegedly receiving money to issue the research, according to the U.S. Securities and Exchange Commission (SEC).

Citibank reaches $38.7 million settlement with SEC over receipts

By Marian Johns | Nov 9, 2018

WASHINGTON, D.C. — Citibank has reached a $38.7 million settlement with the U.S. Securities and Exchange Commission (SEC) to resolve charges that the bank inappropriately gave American depository receipts (ADRs) to brokers prior to thousands of transactions without the required corresponding foreign shares in a depository bank.

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