Brian Ferdinand: Fine

Administrative Order imposing a fine of $115,000 and other penalties against Brian L. Ferdinand regarding Liquid Holdings Group Inc., a Delaware firm whose shares were listed on NASDAQ, and QuantX Management LLP, a British “partner-funded trading firm that allocated capital to traders”, before the U. S. Securities and Exchange Commission.

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Pages: 9

Date: April 22, 2020

Defendant(s)/Respondent(s): Brian L. Ferdinand

Case Number: Xx Xx Xx

Topic: Investment, Liquidations & Insolvencies, Listed Securities, Regulatory

Plaintiff(s)/Applicant(s): U. S. Securities and Exchange Commission

Topics

United Kingdom

[ 1 more... ] [ top 5 ]

Keywords

Brian L. Ferdinand Liquid Holdings Group, Inc. QuantX Management LLP U. S. Securities and Exchange Commission

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