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Wave Securities LLC
... two affiliated exchanges $4.5m for compliance failures. The exchanges' affiliated routing broker, Archipelago Securities, was also charged with failing to comply with rules related to ...
... federal securities laws. Also charged was the NYSE exchanges' affiliated routing broker Archipelago Securities. The NYSE exchanges agreed to settle the SEC's charges by retaining ...
... Exchange, NYSE Arca and NYSE MKT, along with affiliate routing broker Archipelago Securities LLC, agreed to pay a $4.5 million penalty to settle SEC charges ...
... the NYSE, two affiliated exchanges, and a broker owned by the exchanges, Archipelago Securities, agreed to retain an independent consultant to review their business practices. ...
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