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January 15, 2015

Posted  January 28, 2016

UBS subsidiary UBS Securities LLC agreed to pay more than $14.4M, including a $12M penalty that is the SEC’s largest against an alternative trading system (ATS), to settle charges of disclosure failures and other securities law violations related to the operation and marketing of its dark pool.  SEC

Tagged in: Dark Pools, Market Manipulation and Trading Violations, Securities Fraud,