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“I do not have clients and I do not provide personalized investment advice for fees or commissions,” said Keith Gill, aka Roaring Kitty. “I did not belong to any groups trying to create movements in the stock price. I have never had a financial...
New enforcement head Tom Sporkin and his team now oversee the detection, investigation and prosecution of alleged violations, while another team will handle the adjudication, a move that mirrors the workflow at the SEC and FINRA.