Documents Investment Liquidations & Insolvencies Listed Securities Regulatory Securities and Exchange Commission (SEC) United Kingdom USAApril 22, 2020

    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.


    • 9
    April 22, 2020
    Brian L. Ferdinand
    Xx Xx Xx
    Investment, Liquidations & Insolvencies, Listed Securities, Regulatory
    U. S. Securities and Exchange Commission

    Topics

    Investment Liquidations & Insolvencies Listed Securities Regulatory USA
    United Kingdom
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    Keywords

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